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Michael Katz

Wells Fargo Clearing Services, LLC

New York, NY

CRD 8035023

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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
TX RA APPROVED 2025-03-12
NY RA APPROVED 2025-03-07
  • TX RA
    APPROVED
    Since 2025-03-12
  • NY RA
    APPROVED
    Since 2025-03-07

Branch Locations

280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • 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 New York NY 01/2025 Present
Kpmg Tysons Corner VA 01/2019 12/2024
University Of Virginia Charlottesville VA 08/2014 05/2018
Arlington Soccer Association Arlington VA 08/2018 05/2019
  • 01/2025 → Present
    Wells Fargo Clearing Services, Llc
    New York, NY
  • 01/2019 → 12/2024
    Kpmg
    Tysons Corner, VA
  • 08/2014 → 05/2018
    University Of Virginia
    Charlottesville, VA
  • 08/2018 → 05/2019
    Arlington Soccer Association
    Arlington, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-07
  • S66 Uniform Combined State Law Examination
    2025-03-07
Designations
  • Certified Financial Planner

View on SEC IAPD

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