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Sarah Harms

Wells Fargo Advisors Financial Network, LLC

St. Louis, MO

O'FAllon, IL

Wells Fargo Clearing Services, LLC

St. Louis, MO

O'FAllon, IL

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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-06-26
MO RA APPROVED 2023-07-03
  • IL RA
    APPROVED
    Since 2024-06-26
  • MO RA
    APPROVED
    Since 2023-07-03

Branch Locations

One North Jefferson Avenue H0004-05C, St. Louis, MO 63103 • UNITED STATES

O'FAllon, IL • United States

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-06-26
MO RA APPROVED 2023-07-03
  • IL RA
    APPROVED
    Since 2024-06-26
  • MO RA
    APPROVED
    Since 2023-07-03

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

O'FAllon, IL • 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 St Louis MO 03/2020 Present
Regions Bank Fairview Heights IL 09/2010 12/2018
Wells Fargo Clearing Services St Louis MO 12/2018 03/2020
  • 03/2020 → Present
    Wells Fargo Clearing Services
    St Louis, MO
  • 09/2010 → 12/2018
    Regions Bank
    Fairview Heights, IL
  • 12/2018 → 03/2020
    Wells Fargo Clearing Services
    St Louis, MO
Other Businesses

RENTAL PROPERTY, INV RELATED, FAIRVIEW HEIGHTS, IL, 100% OWNERSHIP WITH SPOUSE, START 10/31/24, 1 HR PER MONTH, 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-01
  • S66 Uniform Combined State Law Examination
    2023-07-01
Other Names
  • Sarah Gustavison

View on SEC IAPD

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