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Shari Hopkins

Wells Fargo Clearing Services, LLC

Minneapolis, MN

Onalaska, WI

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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
WI RA APPROVED 2022-07-11
TX RA APPROVED 2022-06-14
  • WI RA
    APPROVED
    Since 2022-07-11
  • TX RA
    APPROVED
    Since 2022-06-14

Branch Locations

90 S 7Th St 10Th & 11Th Fls [Gj-Rbo], Minneapolis, MN 55402 • United States

591 Theater Rd, Onalaska, WI 54650 • 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
Lpl Financial, Llc La Crosse WI 08/2010 06/2022
Coulee State Bank La Crosse WI 08/2010 06/2022
Wells Fargo Clearing Services, Llc Rochester MN 06/2022 Present
Previous Registrations
  • 2010-08-20 → 2022-07-01
    Lpl Financial Llc
    La Crosse, WI
    St Paul, MN
    St. Paul, MN
  • 2010-06-02 → 2010-08-25
    Concourse Financial Group Securities, Inc.
    Onalaska, WI
    Onalaska, WI
    Birmingham, AL
  • 2008-03-31 → 2009-11-10
    Chase Investment Services Corp.
    Belpre, OH
    Marietta, OH
    Athens, OH
  • 2000-09-15 → 2008-03-28
    Strategic Advisers Llc
    Palo Alto, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-21
S63 Uniform Securities Agent State Law Examination 1998-09-24
  • S65 Uniform Investment Adviser Law Examination
    1998-10-21
  • S63 Uniform Securities Agent State Law Examination
    1998-09-24
Other Names
  • Shari Lynn Dow
  • Shari Lynn Mork
  • Shari Lynn Mork-Ristila
  • Shari Lynn Mork
  • Shari Lynn Hopkins

View on SEC IAPD

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