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Gwen Tyler

Wells Fargo Clearing Services, LLC

Denver, CO

Greenwood Village, CO

CRD 6069225

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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
CO RA APPROVED 2017-08-18
  • CO RA
    APPROVED
    Since 2017-08-18

Branch Locations

2043 S Colorado Blvd, Denver, CO 80222 • United States

5613 Dtc Parkway 9Th Fl [Mb-Rbo], Greenwood Village, CO 80111 • 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 Advisors Llc Denver CO 05/2012 11/2016
Wells Fargo Bank Na Denver CO 10/2010 Present
Wells Fargo Clearing Services, Llc Denver CO 11/2016 Present
  • 05/2012 → 11/2016
    Wells Fargo Advisors Llc
    Denver, CO
  • 10/2010 → Present
    Wells Fargo Bank Na
    Denver, CO
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-18
S63 Uniform Securities Agent State Law Examination 2012-07-11
  • S66 Uniform Combined State Law Examination
    2017-08-18
  • S63 Uniform Securities Agent State Law Examination
    2012-07-11
Other Names
  • Gwen Swearingen

View on SEC IAPD

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