Ken Scott Chastain

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
AR	RA	APPROVED	2019-01-28
TX	RA	APPROVED	2011-01-03

AR RA
APPROVED

Since 2019-01-28
TX RA
APPROVED

Since 2011-01-03

Branch Locations

Edgemont, AR • United States

825 Town And Country Ln Ste 300 [Lx-Rbo], Houston, TX 77024 • United States

Houston, TX • 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
Wells Fargo Advisors Llc	The Woodlands	TX	01/2011	11/2016
Wells Fargo Clearing Services, Llc	The Woodlands	TX	11/2016	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

The Woodlands, TX
11/2016 → Present

Wells Fargo Clearing Services, Llc

The Woodlands, TX

Previous Registrations

2006-04-21 → 2011-01-03

Wells Fargo Investments, Llc

Hosuton, TX

The Woodlands, TX

Houston, TX

Spring, TX

Spring, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-07-12
S63	Uniform Securities Agent State Law Examination	1991-04-23

S65 Uniform Investment Adviser Law Examination

2001-07-12
S63 Uniform Securities Agent State Law Examination

1991-04-23

View on SEC IAPD