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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-04-03 |
| CA | RA | APPROVED | 2023-04-03 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bbva Securities Inc. | Tucson | AZ | 06/2017 | 10/2018 |
| Bbva Compass | Tucson | AZ | 02/2017 | 10/2018 |
| J.D. Melberg Financial | Tucson | AZ | 07/2016 | 02/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 11/2018 | 07/2021 |
| Bank Of America, N.A. | Tucson | AZ | 11/2018 | 07/2021 |
| Jp Morgan Chase Bank, N.A. | Tucson | AZ | 09/2021 | 11/2022 |
| Jp Morgan Securities Llc | Tucson | AZ | 09/2021 | 11/2022 |
| Unemployed | Tucson | AZ | 08/2021 | 08/2021 |
| Wells Fargo Clearing Services, Llc | Oro Valley | AZ | 02/2023 | Present |
| Wells Fargo Bank, Na | Oro Valley | AZ | 02/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 2017-10-10 |
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