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Marlene Stacy Garcia

Wells Fargo Clearing Services, LLC

Roanoke, VA

Roanoke, VA

CRD 7235899

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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:

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
VA RA APPROVED 2022-10-07
  • VA RA
    APPROVED
    Since 2022-10-07

Branch Locations

4206 Electric Rd, Roanoke, VA 24018 • United States

10 S Jefferson St Ste 2100 [V3/V8-Rbo], Roanoke, VA 24011 • 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 Bank, Na Roanoke VA 02/2016 Present
Wells Fargo Clearing Services, Llc Vinton VA 03/2020 02/2021
Wells Fargo Clearing Services, Llc Roanoke VA 07/2022 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-10-07
S63 Uniform Securities Agent State Law Examination 2022-09-14
  • S65 Uniform Investment Adviser Law Examination
    2022-10-07
  • S63 Uniform Securities Agent State Law Examination
    2022-09-14
Other Names
  • Marlene Garcia

View on SEC IAPD

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Nearby Offices

COMMONWEALTH FINANCIAL NETWORK · Roanoke, VA
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CETERA INVESTMENT ADVISERS LLC · CAVE SPRING, VA

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