Brock Loen

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 09/2017
  D.A. Davidson & Co.
  Seattle, WA
• 10/2017 → 06/2020
  D.A. Davidson & Co.
  Seattle, WA
• 06/2020 → Present
  Wells Fargo Clearing Services, Llc
  Seattle, WA

Previous Registrations

• 2009-06-24 → 2020-06-25
  D.A. Davidson & Co.
  Aberdeen, WA
  Bainbridge Island, WA
  Seattle, WA
• 1995-04-05 → 2009-06-29
  Wells Fargo Investments, Llc
  Seattle, WA
  Seattle, WA

Other Businesses

1) MAGNOLIA 5 LLC, INV RELATED, SEATTLE, WA, 100% OWNERSHIP, START 5/12/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING, REAL ESTATE/5 PLEX. 2) RENTAL PROPERTY, INV RELATED, LA QUINTA, CA, 50% OWNERSHIP, START 4/1/2008, ZERO HOURS PER MONTH, ZERO DURING TRADING, PASSIVE OWNERSHIP. 3)TRUSTEE FOR MOTHER'S TRUST, INV RELATED, SHERWOOD, OR, START: 7/8/2020, 1 HR/MONTH, 0 HRS DURING TRADING. 4) CO-TRUSTEE FOR MOTHER'S TRUST (2), INV RELATED, SHERWOOD, OR, START 7/8/2020, 1 HR/MONTH, 0 HRS DURING TRADING. 5) RENTAL PROPERTY, INVT RELATED, SEATTLE, WA, 100% OWNERSHIP WITH SPOUSE, START 6/24/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO DUTIES. 6) 1110 NORTH 140TH STREET LLC, INV RELATED, SEATTLE, WA, 25% OWNERSHIP, START 10/24/2017, ZERO HOURS PER MONTH, ZERO DURING TRADING, FACILITATES PRIVATE INVESTMENT. 7) 14016 AURORA AVENUE NORTH LLC, INV RELATED, SEATTLE, WA, 55.2% OWNERSHIP, START 5/19/2017, ZERO HOURS PER MONTH, ZERO DURING TRADING, FACILITATES PRIVATE INVESTMENT. 8) POWER OF ATTORNEY FOR MOTHER, INV RELATED, WILSONVILLE, OR, START: 3/26/2021, 1 HR/MONTH, 0 HRS DURING TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-01-23
• S63 Uniform Securities Agent State Law Examination
  1990-09-21