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Emily Victoria Malone

Wells Fargo Clearing Services, LLC

Charlotte, NC

CRD 7246571

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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
TX RA APPROVED 2020-11-03
NC RA APPROVED 2020-08-19
  • TX RA
    APPROVED
    Since 2020-11-03
  • NC RA
    APPROVED
    Since 2020-08-19

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 Clearing Services, Llc Charlotte NC 03/2020 Present
U.S. Department Of Education, Office Of Federal Student Aid Washington DC 04/2015 02/2020
Other Businesses

NORTH CAROLINA LAW LICESNSE, NOT INV RELATED, RALEIGH, NC, START 8/28/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-19
  • S66 Uniform Combined State Law Examination
    2020-08-19
Other Names
  • Emily Malone

View on SEC IAPD

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Nearby Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
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