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Dilia Carolina Amaya Chavez

Wells Fargo Clearing Services, LLC

Charlotte, NC

Charlotte, NC

CRD 7362914

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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
NC RA APPROVED 2021-07-31
  • NC RA
    APPROVED
    Since 2021-07-31

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

1607 Sardis Rd N, Charlotte, NC 28270 • 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 04/2021 Present
Wells Fargo Bank, Na Charlotte NC 06/2019 Present
Banco Ficohsa San Pedro Sula 11/2014 12/2017
Distribuidora El Ciclista San Pedro Sula 01/2018 05/2019
  • 04/2021 → Present
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 06/2019 → Present
    Wells Fargo Bank, Na
    Charlotte, NC
  • 11/2014 → 12/2017
    Banco Ficohsa
    San Pedro Sula
  • 01/2018 → 05/2019
    Distribuidora El Ciclista
    San Pedro Sula
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-07-31
  • S66 Uniform Combined State Law Examination
    2021-07-31
Other Names
  • Dilia Carolina Amaya Chavez

View on SEC IAPD

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