Best Investors Account Sign in

Kimberly Joan Roman

Wells Fargo Clearing Services, LLC

Tarpon Springs, FL

Minneapolis, MN

Palm Harbor, FL

CRD 5496021

Claim This Profile
Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2008-10-15
  • FL RA
    APPROVED
    Since 2008-10-15

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

550 S 4Th St 14Th Fl [Regional Supervision], Minneapolis, MN 55415 • United States

Palm Harbor, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Tampa FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Tampa FL 11/2016 Present
Other Businesses

ENCLAVE HOA ; NOT INV RELATED;CLEARWATER,FL; HOA; SECRETARY; START DATE: 03/01/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-01
  • S66 Uniform Combined State Law Examination
    2008-10-01
Other Names
  • Kimberly Emmons
  • Kimberly Joan Emmons
  • Kimberly Joan Roman
  • Kimberly Roman

View on SEC IAPD

More in Tarpon Springs, FL

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor