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Karen Cleveland

Wells Fargo Clearing Services, LLC

San Diego, CA

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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 2026-01-13
TX RA APPROVED 2026-01-13
  • CA RA
    APPROVED
    Since 2026-01-13
  • TX RA
    APPROVED
    Since 2026-01-13

Branch Locations

12531 High Bluff Dr Ste 400, San Diego, CA 92130 • 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
Lpl Financial San Diego CA 01/2010 08/2025
Wells Fargo Clearing Services, Llc San Diego CA 12/2025 Present
Unemployed San Diego CA 08/2025 12/2025
Previous Registrations
  • 2010-01-27 → 2025-08-22
    Lpl Financial Llc
    San Diego, CA
    San Diego, CA
    San Diego, CA
  • 2009-05-02 → 2009-05-15
    Chase Investment Services Corp.
    Irvine, CA
  • 2008-12-09 → 2009-05-02
    Wamu Investments, Inc.
    Irvine, CA
    Irvine, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-12-08
S63 Uniform Securities Agent State Law Examination 2006-01-07
  • S65 Uniform Investment Adviser Law Examination
    2008-12-08
  • S63 Uniform Securities Agent State Law Examination
    2006-01-07
Other Names
  • Karen Anne Martin
  • Karen Anne Cleveland

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
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