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Daniel Kalota

Wells Fargo Clearing Services, LLC

Tucson, AZ

Tucson, AZ

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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
AZ RA APPROVED 2019-06-11
TX RA APPROVED 2019-06-07
  • AZ RA
    APPROVED
    Since 2019-06-11
  • TX RA
    APPROVED
    Since 2019-06-07

Branch Locations

4051 E Sunrise Dr Ste 200, Tucson, AZ 85718 • United States

Tucson, AZ • 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
Ameriprise Financial Services, Inc. Tucson AZ 10/2009 05/2019
Ameriprise Financial Services, Inc. Tucson AZ 10/2009 05/2019
Wells Fargo Clearing Services, Llc Tucson AZ 06/2019 Present
  • 10/2009 → 05/2019
    Ameriprise Financial Services, Inc.
    Tucson, AZ
  • 10/2009 → 05/2019
    Ameriprise Financial Services, Inc.
    Tucson, AZ
  • 06/2019 → Present
    Wells Fargo Clearing Services, Llc
    Tucson, AZ
Previous Registrations
  • 2009-10-05 → 2019-06-10
    Ameriprise Financial Services, Llc
    Tucson, AZ
  • 2006-05-01 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Tucson, AZ
  • 2002-11-18 → 2006-04-04
    Morgan Stanley Dw Inc.
    Tucson, AZ
    Tucson, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-13
S63 Uniform Securities Agent State Law Examination 2000-07-03
  • S65 Uniform Investment Adviser Law Examination
    2002-07-13
  • S63 Uniform Securities Agent State Law Examination
    2000-07-03

View on SEC IAPD

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AIO FINANCIAL, LLC
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FINANCIAL DIRECTIONS LLC
COMMONWEALTH FINANCIAL NETWORK
GENEOS WEALTH MANAGEMENT, INC.

Other Investors

MARTIN ANTHONY SMITH
ALEXANDER DEVEREAUX PARRS
ROBIN RODGERS DOLEZAL
DARREN GRANT HESSELINK
DANIEL SHAY NENTL
DAVID A. NIICHEL
EMILY MARIE Delgado
DAVID CUNNINGHAM RENZI

Other Offices

IRONWOOD FINANCIAL, LLC · TUCSON, AZ
IRONWOOD FINANCIAL, LLC · TUCSON, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TUCSON, AZ
WELLS FARGO CLEARING SERVICES, LLC · TUCSON, AZ
ALLSTATE FINANCIAL ADVISORS, LLC · Tucson, AZ
AIO FINANCIAL, LLC · TUCSON, AZ
EDWARD JONES · TUCSON, AZ
FINANCIAL DIRECTIONS LLC · TUCSON, AZ

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