James Mitchell Hartje

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2016 → 11/2016
  Wells Fargo Advisors Llc
  Westlake Village, CA
• 08/2014 → Present
  Wells Fargo Bank, Na
  Calabasas, CA
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Calabasas, CA

Other Businesses

TBD, LLC, INVT RELATED, THOUSAND OAKS, CA, 50% OWNERSHIP, START DATE 6/28/2021, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNING PROPERTY. RENTAL PROPERTY; INVESTMENT RELATED; THOUSAND OAKS,CA; 50% OWNERSHIP; START DATE 05/03/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-12-08
• S63 Uniform Securities Agent State Law Examination
  2016-07-13

Other Names

• James Hartje