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Sara Kathryn Ortega

Wells Fargo Clearing Services, LLC

Puyallup, WA

Seattle, WA

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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 2026-07-21
WA RA APPROVED 2025-09-19
  • TX RA
    APPROVED
    Since 2026-07-21
  • WA RA
    APPROVED
    Since 2025-09-19

Branch Locations

431 39Th Ave Sw, Puyallup, WA 98373 • United States

999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • 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 Puyallup WA 10/2019 01/2022
Wells Fargo Bank, Na Puyallup WA 05/2013 Present
Wells Fargo Clearing Services, Llc Puyallup WA 03/2025 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-09-18
S63 Uniform Securities Agent State Law Examination 2025-06-12
  • S65 Uniform Investment Adviser Law Examination
    2025-09-18
  • S63 Uniform Securities Agent State Law Examination
    2025-06-12
Other Names
  • Sara Kathryn Aller
  • Sara K Ortega

View on SEC IAPD

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