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Courtney Shea Diaz

Wells Fargo Clearing Services, LLC

Wichita Falls, TX

Fort Worth, TX

CRD 6984130

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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 2018-10-30
  • TX RA
    APPROVED
    Since 2018-10-30

Branch Locations

2301 Kell Blvd, Wichita Falls, TX 76308 • United States

201 Main St 4Th Fl [Tg-Rbo], Fort Worth, TX 76102 • 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 Wichita Falls TX 07/2015 Present
Wells Fargo Clearing Services, Llc Wichita Falls TX 07/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-30
  • S66 Uniform Combined State Law Examination
    2018-10-30
Other Names
  • Courtney Shea Crane
  • Courtney Diaz

View on SEC IAPD

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