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Karen Ashley Whitlock

Wells Fargo Clearing Services, LLC

Richmond, VA

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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
VA RA APPROVED 2025-10-28
TX RA APPROVED_RES 2017-10-09
  • VA RA
    APPROVED
    Since 2025-10-28
  • TX RA
    APPROVED_RES
    Since 2017-10-09

Branch Locations

1021 E Cary St [V2/V9-Rbo], Richmond, VA 23219 • 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 Richmond VA 10/2008 11/2016
Wells Fargo Clearing Services, Llc Richmond VA 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-25
S63 Uniform Securities Agent State Law Examination 2017-09-29
  • S66 Uniform Combined State Law Examination
    2025-10-25
  • S63 Uniform Securities Agent State Law Examination
    2017-09-29
Other Names
  • Karen Smiley
  • Karen Ashley Smiley
  • Karen Ashley Whitlock

View on SEC IAPD

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EDWARD GARRETT WIRWILLE
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Other Offices

TAYLOR HOFFMAN CAPITAL MANAGEMENT · RICHMOND, VA
WEALTHCARE CAPITAL MANAGEMENT LLC · RICHMOND, VA
WEST TOWER GROUP, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
AMERIPRISE FINANCIAL SERVICES, LLC · RICHMOND, VA
CETERA INVESTMENT ADVISERS LLC · RICHMOND, VA
UBS FINANCIAL SERVICES INC. · RICHMOND, VA
STIFEL, NICOLAUS & COMPANY, INCORPORATED · Richmond, VA

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