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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
CA RA APPROVED 2011-01-03
WI RA APPROVED 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03
  • WI RA
    APPROVED
    Since 2011-01-03

Branch Locations

600 2Nd St, Hudson, WI 54016 • United States

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

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bob Smiths Sports Club Hudson WI 03/1994 Present
Wells Fargo Bank, N.A. Hudson WI 03/1997 Present
Wells Fargo Advisors, Llc Hudson WI 01/2011 11/2016
Wells Fargo Clearing Services, Llc Hudson WI 11/2016 Present
  • 03/1994 → Present
    Bob Smiths Sports Club
    Hudson, WI
  • 03/1997 → Present
    Wells Fargo Bank, N.A.
    Hudson, WI
  • 01/2011 → 11/2016
    Wells Fargo Advisors, Llc
    Hudson, WI
  • 11/2016 → Present
    Hudson, WI
Previous Registrations
  • 2009-04-24 → 2011-01-03
    Wells Fargo Investments, Llc
    Cottage Grove, MN
    Hudson, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-22
  • S66 Uniform Combined State Law Examination
    2009-04-22
Other Names
  • Kelly Annette Bird

View on SEC IAPD

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