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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2013-04-15 |
| TX | RA | APPROVED | 2013-04-12 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
Laguna Niguel, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Newport Beach | CA | 04/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | Present |
CHABA THAI & SPA LLC; NOT INV. RELATED; NEWPORT BEACH, CA; CO-OWNER; MASSAGE THERAPY; START DATE 10/1/2016; 6 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: HELP WITH ADMINISTRATION AND ACCOUNTING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-02 |
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