Norman Alexander Cotteleer

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

Authority	Category	Status	Date
NY	RA	APPROVED	2022-01-20
CT	RA	APPROVED	2022-01-12
TX	RA	APPROVED	2022-01-10

NY RA
APPROVED

Since 2022-01-20
CT RA
APPROVED

Since 2022-01-12
TX RA
APPROVED

Since 2022-01-10

Branch Locations

330 Whitney Ave Ste 700, Holyoke, MA 01040 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Hartford	CT	12/2015	01/2022
Wells Fargo Clearing Services, Llc (	Springfield	MA	01/2022	Present

12/2015 → 01/2022

Ameriprise Financial Services, Inc.

Hartford, CT
01/2022 → Present

Wells Fargo Clearing Services, Llc (

Springfield, MA

Previous Registrations

2015-12-08 → 2022-01-12

Ameriprise Financial Services, Llc

Glastonbury, CT
2001-07-18 → 2015-12-18

Lpl Financial Llc

Simsbury, CT

West Hartford, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-04-19
S63	Uniform Securities Agent State Law Examination	1990-08-08

S65 Uniform Investment Adviser Law Examination

2000-04-19
S63 Uniform Securities Agent State Law Examination

1990-08-08

View on SEC IAPD