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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-03 |
| IA | RA | APPROVED | 2011-02-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Dubuque | IA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Dubuque | IA | 11/2016 | Present |
THE INSIDE VIEW; NON-INV; PEOSTA, IA; 100% OWNERSHIP; START: 2000; HOURS: 10 PER MONTH - 0 DURING TRADING; DUTIES: ORDER AND INSTALL BLINDS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 2011-02-19 |
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