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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 | 2018-03-28 |
| CA | RA | APPROVED | 2018-02-15 |
Branch Locations
30160 Town Center Dr, Laguna Niguel, CA 92677 • United States
5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, N.A. | Laguna Hills | CA | 08/2010 | 01/2018 |
| Wells Fargo Advisors Llc | Laguna Hills | CA | 06/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Mission Viejo | CA | 11/2016 | Present |
BOWLUS VINEYARDS LLC, NOT INV RELATED, CARMEL, CA, 5% OWNERSHIP, START 3/1/2020, 2 HOURS PER MONTH, ZERO DURING TRADING, SILENT PARTNER IN FAMILY WINE BUSINESS. ADDIO, LLC, INVT RELATED, LADERA RANCH, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 4/15/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, PURCHASING LAND TO HOLD IN LLC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 2011-07-20 |
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