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Dawn Maria Newton

Wells Fargo Clearing Services, LLC

Williamsville, NY

CRD 3133729

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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
NY RA APPROVED 2021-07-19
NJ RA APPROVED 2019-02-25
TX RA APPROVED_RES 2013-01-10
  • NY RA
    APPROVED
    Since 2021-07-19
  • NJ RA
    APPROVED
    Since 2019-02-25
  • TX RA
    APPROVED_RES
    Since 2013-01-10

Branch Locations

6390 Main St, Ste 100, Williamsville, NY 14221 • 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 Advisors Llc Buffalo NY 12/2011 11/2016
Wells Fargo Clearing Services, Llc Buffalo NY 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-25
S63 Uniform Securities Agent State Law Examination 2001-09-10
  • S66 Uniform Combined State Law Examination
    2018-06-25
  • S63 Uniform Securities Agent State Law Examination
    2001-09-10
Other Names
  • Dawn Maria Marcolini
  • Dawn Marcolini Newton

View on SEC IAPD

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OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RABENOLD ADVISORS, INC.

Nearby Investors

GREGORY PAUL POLEON
CHRISTOPHER ZACCHEAUS CHILES
RANDY DEVIN TOTH

Nearby Offices

OSAIC WEALTH, INC. · WILLIAMSVILLE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILLIAMSVILLE, NY
RABENOLD ADVISORS, INC. · WILLIAMSVILLE, NY

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