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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
MN RA APPROVED 2019-10-24
  • MN RA
    APPROVED
    Since 2019-10-24

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

550 S 4Th St 13Th Fl [Tpb Services], Minneapolis, MN 55415 • 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
Shane Lines Photography Bloomington MN 06/2006 Present
Morgan Stanley Smith Barney Llc Minneapolis MN 03/2014 03/2019
Wells Fargo Clearing Services Minneapolis MN 10/2019 Present
Wells Fargo Bank Minneapolis MN 10/2019 Present
  • 06/2006 → Present
    Shane Lines Photography
    Bloomington, MN
  • 03/2014 → 03/2019
    Morgan Stanley Smith Barney Llc
    Minneapolis, MN
  • 10/2019 → Present
    Wells Fargo Clearing Services
    Minneapolis, MN
  • 10/2019 → Present
    Wells Fargo Bank
    Minneapolis, MN
Previous Registrations
  • 2014-01-03 → 2019-03-13
    Minneapolis, MN
    Wayzata, MN
Other Businesses

SHANE LINES PHOTOGRAPHY, NOT INVT RELATED, BLOOMINGTON, MN, 100% OWNERSHIP, START DATE 11/1/2019, 3 HRS PER MONTH, 0 HRS DURING TRADING, CAPTURING IMAGES FOR PERSONAL, FAMILY AND EVENTS. USA BANDY REFEREE, NOT INVT RELATED, ROSEVILLE, MN, INTERNATIONAL REFEREE, START DATE 11/9/2019, 6 HRS PER MONTH, 0 HRS DURING TRADING, REFEREEING THE ELITE AND LOWER DIVISION BANDY GAMES AS WELL AS WORLD CHAMPIONSHIP AND WORLD CUP.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-27
  • S66 Uniform Combined State Law Examination
    2013-12-27
Other Names
  • Shane Douglas Lines

View on SEC IAPD

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