Best Investors Account Sign in

Brendan John Roberts

Wells Fargo Clearing Services, LLC

Kannapolis, NC

Glen Allen, VA

Charlotte, NC

CRD 7204616

Claim This Profile
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
NC RA APPROVED 2023-05-23
TX RA APPROVED_RES 2020-06-08
  • NC RA
    APPROVED
    Since 2023-05-23
  • TX RA
    APPROVED_RES
    Since 2020-06-08

Branch Locations

Kannapolis, NC • United States

4340 Innslake Dr Concourse Floor, 7G91, Glen Allen, VA 23060 • United States

550 S Tryon St, Charlotte, NC 28202 • 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 Charlotte NC 11/2019 Present
Rhi General Group San Ramon CA 11/2019 03/2020
Hawthorne's Pizza And Bar Charlotte NC 05/2019 11/2019
Hickory Tavern Charlotte NC 05/2017 06/2019
Best Buy Charlotte NC 08/2015 08/2017
  • 11/2019 → Present
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 11/2019 → 03/2020
    Rhi General Group
    San Ramon, CA
  • 05/2019 → 11/2019
    Hawthorne's Pizza And Bar
    Charlotte, NC
  • 05/2017 → 06/2019
    Hickory Tavern
    Charlotte, NC
  • 08/2015 → 08/2017
    Best Buy
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-05
S63 Uniform Securities Agent State Law Examination 2020-02-07
  • S65 Uniform Investment Adviser Law Examination
    2023-05-05
  • S63 Uniform Securities Agent State Law Examination
    2020-02-07
Other Names
  • Brendan Roberts

View on SEC IAPD

More in Kannapolis, NC

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor