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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
TX RA APPROVED 2025-08-13
WA RA APPROVED 2022-01-19
UT RA APPROVED 2022-01-13
  • TX RA
    APPROVED
    Since 2025-08-13
  • WA RA
    APPROVED
    Since 2022-01-19
  • UT RA
    APPROVED
    Since 2022-01-13

Branch Locations

299 S Main St 7Th Fl [Mk/Me-Rbo], Salt Lake City, UT 84111 • United States

5285 W 11000 N, Highland, UT 84003 • 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
OrganizationCityStateFromTo
Jpmorgan Chase Bank Na Gig Harbor WA 05/2010 01/2022
J.P. Morgan Securities Llc Richland WA 10/2012 01/2022
Jpmorgan Chase Bank, N.A. Walla Walla WA 01/2018 01/2022
Wells Fargo Clearing Services, Llc Salt Lake City UT 01/2022 Present
Previous Registrations
  • 2012-10-01 → 2022-01-21
    Richland, WA
    Richland, WA
    College Place, WA
    Walla Walla, WA
    Kennewick, WA
    Richland, WA
    Pasco, WA
  • 2012-02-07 → 2012-10-01
    Chase Investment Services Corp.
    Gig Harbor, WA
    Walla Walla, WA
    Gig Harbor, WA
    College Place, WA
    Richland, WA
    Richland, WA
Other Businesses

5 CANYONS LOGISTICS, INC; NOT INV RELATED; OREM, UT; 100% OWNERSHIP; 05/2025; 40 HOURS PER MONTH; NO HOURS DURING TRADING; FEDEX LONGHAUL TRUCKING| PEAK AND ARCH LOGISTICS; NOT INV RELATED; LEHI, UT; 100% OWNERSHIP; 07/2025; 40 HOURS PER MONTH; 0 DURING TRADING; LONG-HAUL CONTRACTOR FO FEDEX CORP

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-02-04
S63 Uniform Securities Agent State Law Examination 2005-10-17
  • S65 Uniform Investment Adviser Law Examination
    2012-02-04
  • S63 Uniform Securities Agent State Law Examination
    2005-10-17
Other Names
  • Joshua Hemming

View on SEC IAPD

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