Best Investors Account Sign in
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
SC RA APPROVED 2016-12-01
NC RA APPROVED 2015-07-29
  • SC RA
    APPROVED
    Since 2016-12-01
  • NC RA
    APPROVED
    Since 2015-07-29

Branch Locations

203 Bethel St, Clover, SC 29710 • United States

5234 Highway 557, Clover, SC 29710 • United States

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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. Charlottte NJ 05/2015 11/2016
Wells Fargo Bank Na Charlotte NC 04/2012 Present
Wells Fargo Clearing Services, Llc Charlottte NJ 11/2016 Present
  • 05/2015 → 11/2016
    Wells Fargo Advisors, Llc.
    Charlottte, NJ
  • 04/2012 → Present
    Wells Fargo Bank Na
    Charlotte, NC
  • 11/2016 → Present
    Charlottte, NJ
Other Businesses

RISE ENTERPRISE LLC, INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START 12/21/2021, 2 HOURS PER MONTH, 2 HOURS DURING TRADING, TO HOLD LAND PURCHASE. RENTAL PROPERTY; INV. RELATED; FORT MILL,SC; 100% OWNERSHIP; START DATE 07/06/2022; NUMBER OF HOURS PER MONTH .3; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INV. RELATED; CHARLOTTE,NC; 100% OWNERSHIP; START DATE 01/20/2023; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-29
S63 Uniform Securities Agent State Law Examination 2015-07-07
  • S65 Uniform Investment Adviser Law Examination
    2015-07-29
  • S63 Uniform Securities Agent State Law Examination
    2015-07-07

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Clover, SC

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor