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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-08-11 |
| NJ | RA | APPROVED | 2021-05-11 |
Branch Locations
280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | New York | NY | 06/2004 | Present |
| Wells Fargo Advisors, Llc | New York | NY | 06/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | Present |
NOTARY PUBLIC, NOT INV RELATED, BRONX, NY, START: 8/1/2022, 40 HRS/MONTH, 0 HRS DURING TRADING. HAMS, LLC; NOT INV. RELATED; RESTON,VA; 50% OWNERSHIP; START DATE 11/01/2022; NUMBER OF HOURS PER MONTH 40; NUMBER OF HOURS DURING TRADING 0; CREATING ILLUSTRATIONS FOR THE CHILDREN'S BOOKS, STICKERS, AND T SHIRTS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-11 |
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