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Diana Carolina Cazares

Wells Fargo Clearing Services, LLC

El Paso, TX

El Paso, TX

CRD 6516607

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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
TX RA APPROVED 2019-05-09
  • TX RA
    APPROVED
    Since 2019-05-09

Branch Locations

221 N Kansas St 1St Fl [Tf*/Tk-Rbo], El Paso, TX 79901 • United States

6960 N Mesa St, El Paso, TX 79912 • 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 Bank, Na El Paso TX 10/2009 Present
Wells Fargo Advisors Llc El Paso TX 10/2016 11/2016
Wells Fargo Clearing Services, Llc El Paso TX 11/2016 03/2018
Wells Fargo Clearing Services, Llc El Paso TX 10/2018 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-03-18
S63 Uniform Securities Agent State Law Examination 2019-01-23
  • S65 Uniform Investment Adviser Law Examination
    2019-03-18
  • S63 Uniform Securities Agent State Law Examination
    2019-01-23
Other Names
  • Diana Cazares
  • Diana Carolina Cazares
  • Diana C Cazares

View on SEC IAPD

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OSAIC WEALTH, INC.
RAYMOND JAMES & ASSOCIATES, INC.

Nearby Investors

JESUS CASTELLANOS
RICHARD JOENS
Divia Correa

Nearby Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · EL PASO, TX
OSAIC WEALTH, INC. · EL PASO, TX
RAYMOND JAMES & ASSOCIATES, INC. · EL PASO, TX

More in El Paso, TX

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