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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-02-05 |
Branch Locations
781 Broadway, New York, NY 10003 • United States
767 5Th Ave 33Rd Fl [Y5-Rbo], New York, NY 10153 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | New York | NY | 07/2020 | 01/2022 |
| Hsbc Bank Usa, N.A. | New York | NY | 12/2016 | 01/2022 |
| Royale Company | Brooklyn | NY | 07/2016 | 12/2016 |
| Bmcc | New York | NY | 01/2014 | 12/2016 |
| Hsbc Securities (Usa) Inc. | New York | NY | 02/2021 | 01/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 01/2022 | 01/2024 |
| Wells Fargo Clearing Services, Llc | New York | NY | 01/2024 | Present |
| Wells Fargo Bank, Na | New York | NY | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 2020-10-05 |
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