Best Investors Account Sign in

Sarah Alicia Sotomayor

Wells Fargo Clearing Services, LLC

Greenwood Village, CO

Claim This Profile
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 2023-02-16
ID RA APPROVED 2019-08-29
CO RA APPROVED 2017-09-18
  • TX RA
    APPROVED_RES
    Since 2023-02-16
  • ID RA
    APPROVED
    Since 2019-08-29
  • CO RA
    APPROVED
    Since 2017-09-18

Branch Locations

5613 Dtc Parkway 9Th Fl [Mb-Rbo], Greenwood Village, CO 80111 • 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. Glendate CO 02/2016 11/2016
Wells Fargo Bank Na Glendale CO 10/2010 Present
Wells Fargo Clearing Services, Llc Glendate CO 11/2016 Present
  • 02/2016 → 11/2016
    Wells Fargo Advisors, Llc.
    Glendate, CO
  • 10/2010 → Present
    Wells Fargo Bank Na
    Glendale, CO
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Glendate, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-18
S63 Uniform Securities Agent State Law Examination 2016-04-05
  • S65 Uniform Investment Adviser Law Examination
    2017-09-18
  • S63 Uniform Securities Agent State Law Examination
    2016-04-05
Other Names
  • Sarah Sotomayor

View on SEC IAPD

Other Firms

DODDS WEALTH, LLC
MARSHALL INVESTMENT MANAGEMENT, LLC
AXS CAPITAL, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
LPL FINANCIAL LLC
WESTERN WEALTH MANAGEMENT LLC
CONCURRENT INVESTMENT ADVISORS, LLC

Other Investors

BRENNAN PAUL PATE
JOHN MICHAEL DODDS
Natalie Ford
DEANNA LEE MEYER
BRENT Allan LEE
Dean Edward Norsworthy
ANDREW T DODDS
DENNIS EDWARD MARSHALL

Other Offices

DODDS WEALTH, LLC · GREENWOOD VILLAGE, CO
MARSHALL INVESTMENT MANAGEMENT, LLC · GREENWOOD VILLAGE, CO
AXS CAPITAL, LLC · GREENWOOD VILLAGE, CO
MORGAN STANLEY · Greenwood Village, CO
RBC CAPITAL MARKETS, LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
WESTERN WEALTH MANAGEMENT LLC · Greenwood Village, CO

More in Greenwood Village, CO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor