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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
FL RA APPROVED 2017-07-18
  • FL RA
    APPROVED
    Since 2017-07-18

Branch Locations

4180 Nw Federal Hwy, Jensen Beach, FL 34957 • United States

9520 S Us Hwy 1, Port Saint Lucie, FL 34952 • United States

10330 Sw Village Center Dr, Port Saint Lucie, FL 34987 • United States

1675 N Military Trail Ste 500 [F1/F5-Rbo], Boca Raton, FL 33486 • 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
Carefree Insurance Port Saint Lucie FL 10/2010 Present
Pnc Investments Port Saint Lucie FL 06/2012 04/2017
Wells Fargo Advisors Financial Network, Llc Palm Beach Gardens FL 07/2017 Present
  • 10/2010 → Present
    Carefree Insurance
    Port Saint Lucie, FL
  • 06/2012 → 04/2017
    Pnc Investments
    Port Saint Lucie, FL
  • 07/2017 → Present
    Wells Fargo Advisors Financial Network, Llc
    Palm Beach Gardens, FL
Previous Registrations
Other Businesses

STRIKE IT SPORTS, LLC; NOT INVESTMENT RELATED; PORT SAINT LUCIE, FL; 100% OWNERSHIP WITH SPOUSE; START DATE 3/11/2017; 12 HOURS PER MONTH / 0 DURING TRADING HOURS. AETNA, INV RELATED, STUART, FL, TRAIL COMMISSIONS, START: 10/1/2009, 0 HOURS, NO DUTIES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-04-01
  • S66 Uniform Combined State Law Examination
    2013-04-01
Other Names
  • Johnny Cortes

View on SEC IAPD

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