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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
AL RA APPROVED 2025-04-23
  • AL RA
    APPROVED
    Since 2025-04-23

Branch Locations

301 Summit Blvd, Birmingham, AL 35243 • United States

2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • 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 Vestavia AL 12/2024 Present
Wells Fargo Bank, Na Vestavia AL 05/2021 Present
Lowe's Home Improvement Homewood AL 12/2014 04/2021
K And G Mens Clothing Homewood AL 07/2023 01/2024
Saint Paul Ame Birmingham AL 08/2022 Present
  • 12/2024 → Present
    Vestavia, AL
  • 05/2021 → Present
    Wells Fargo Bank, Na
    Vestavia, AL
  • 12/2014 → 04/2021
    Lowe's Home Improvement
    Homewood, AL
  • 07/2023 → 01/2024
    K And G Mens Clothing
    Homewood, AL
  • 08/2022 → Present
    Saint Paul Ame
    Birmingham, AL
Other Businesses

I am the assistant music director for Saint Paul AME in the Smithfield community in Birmingham, Alabama. I receive a salary and the address is 300 4th Court North Birmingham, AL 35204. I began working with them 08/01/2022. I devote about 40 hours per month to this position. I devote no hours during securities trading hours. | MUSICIAN - INDEPENDENT MUSICIAN; NOT INV RELATED; BIRMINGHAM, AL; MUSIC;100% OWNERSHIP; START DATE: 09/27/2025; 20 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-23
S63 Uniform Securities Agent State Law Examination 2025-03-28
  • S65 Uniform Investment Adviser Law Examination
    2025-04-23
  • S63 Uniform Securities Agent State Law Examination
    2025-03-28
Other Names
  • Moe
  • Reese
  • Maurice Nix

View on SEC IAPD

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