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Caroline Faraino Hanzlik

Wells Fargo Clearing Services, LLC

Denver, CO

Denver, CO

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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
TX RA APPROVED_RES 2018-07-25
CO RA APPROVED 2015-07-15
  • TX RA
    APPROVED_RES
    Since 2018-07-25
  • CO RA
    APPROVED
    Since 2015-07-15

Branch Locations

3200 Cherry Creek S Dr Ste 100, Denver, CO 80209 • United States

Denver, CO • 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 Greenwood Village CO 04/2015 11/2016
Wells Fargo Clearing Services, Llc Greenwood Village CO 11/2016 Present
Other Businesses

GLR 738 S GRANT ST, LLC, INVT RELATED, DENVER, CO 19.5% OWNERSHIP WITH SPOUSE, START 3/22/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO DUTIES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-15
  • S66 Uniform Combined State Law Examination
    2015-07-15
Other Names
  • Caroline Faraino
  • Caroline Nadine Faraino

View on SEC IAPD

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