Best Investors Account Sign in

Ashley Baker Carter

Wells Fargo Clearing Services, LLC

Charleston, SC

CRD 5519297

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
TX RA APPROVED 2016-12-08
SC RA APPROVED 2016-12-07
  • TX RA
    APPROVED
    Since 2016-12-08
  • SC RA
    APPROVED
    Since 2016-12-07

Branch Locations

320 Broad St, Charleston, SC 29401 • 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
Herschel Harvey Charleston SC 04/2008 12/2016
Northwestern Mutual Investment Services, Llc Charleston SC 09/2009 12/2016
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 12/2016
Wells Fargo Clearing Services, Llc Charleston SC 12/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-02
S63 Uniform Securities Agent State Law Examination 2011-03-03
  • S66 Uniform Combined State Law Examination
    2015-07-02
  • S63 Uniform Securities Agent State Law Examination
    2011-03-03
Designations
  • Certified Financial Planner
Other Names
  • Ashley L. Baker
  • Ashley Lauren Baker

View on SEC IAPD

More in Charleston, SC

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor