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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
MN RA APPROVED 2018-07-13
  • MN RA
    APPROVED
    Since 2018-07-13

Branch Locations

601 S 8Th St, Minneapolis, MN 55404 • United States

90 S 7Th St Fl 10 [Mn- Rbo], Minneapolis, MN 55402 • 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 Bank Na Minneapolis MN 05/2006 Present
Sears Appliance Outlet Store Coon Rapids MN 08/2005 Present
Wells Fargo Clearing Services Llc Minneaplois MN 02/2018 Present
Saf Management Inc Luck WI 04/2017 Present
  • 05/2006 → Present
    Wells Fargo Bank Na
    Minneapolis, MN
  • 08/2005 → Present
    Sears Appliance Outlet Store
    Coon Rapids, MN
  • 02/2018 → Present
    Minneaplois, MN
  • 04/2017 → Present
    Saf Management Inc
    Luck, WI
Other Businesses

1)SAF MANAGEMENT INC. DBA LUCK COUNTRY INN, NOT INV RELATED, LUCK, WI, 33.33% OWNERSHIP, START 1/1/2015, 80 HOURS PER MONTH, ZERO DURING TRADING, MANAGING HOTEL BUSINESS PERFORMING BUILDING MAINTENANCE AND WORKING FRONT DESK. 2)ARSHAD ENTERPRISES LLC, NOT INV RELATED, BLAINE, MN, START 1/1/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING, NO ACTIVITY FORMERLY CREATED TO SELL GENERATOR PARTS.; 3)LYFT, NOT INV RELATED, MINNEAPOLIS, MN, DRIVER, START DATE: 11/1/2018, 20 HRS/MONTH, 0 HRS DURING TRADING. 4)UBER, NOT INV RELATED, MINNEAPOLIS, MN, DRIVER, START DATE: 11/1/18, 15 HRS/MONTH, 0 HRS DURING TRADING. DOORDASH; NOT INV RELATED;SAN FRANCISCO,CA; ONLINE FOOD DELIVERY SERVICES; FOOD DELIVERY DRIVER ; START DATE: 7/31/2026; 15 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-07-13
S63 Uniform Securities Agent State Law Examination 2018-06-13
  • S65 Uniform Investment Adviser Law Examination
    2018-07-13
  • S63 Uniform Securities Agent State Law Examination
    2018-06-13

View on SEC IAPD

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