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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
GA RA APPROVED 2022-12-14
  • GA RA
    APPROVED
    Since 2022-12-14

Branch Locations

620 N Jeff Davis Dr, Fayetteville, GA 30214 • United States

2055 Sugarloaf Circle [G8-Rbo], Duluth, GA 30097 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Newnan GA 04/2019 09/2022
Jp Morgan Chase Bank N.A. Newnan GA 04/2019 09/2022
Exertus Financial Services Fairburn GA 03/2018 03/2019
Georgia State University Atlanta GA 08/2016 08/2017
World Financial Group Atlanta GA 09/2014 03/2018
Wells Fargo Clearing Services, Llc Peachtree City GA 09/2022 Present
Wells Fargo Bank, Na Peachtree City GA 09/2022 Present
  • 04/2019 → 09/2022
    J.P. Morgan Securities Llc
    Newnan, GA
  • 04/2019 → 09/2022
    Jp Morgan Chase Bank N.A.
    Newnan, GA
  • 03/2018 → 03/2019
    Exertus Financial Services
    Fairburn, GA
  • 08/2016 → 08/2017
    Georgia State University
    Atlanta, GA
  • 09/2014 → 03/2018
    World Financial Group
    Atlanta, GA
  • 09/2022 → Present
    Peachtree City, GA
  • 09/2022 → Present
    Wells Fargo Bank, Na
    Peachtree City, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-12
S63 Uniform Securities Agent State Law Examination 2019-06-21
  • S66 Uniform Combined State Law Examination
    2022-12-12
  • S63 Uniform Securities Agent State Law Examination
    2019-06-21
Other Names
  • Kepinga P Mukenge

View on SEC IAPD

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