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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-09-27 |
Branch Locations
150 E 42Nd St 41St & 42Nd Fls, New York, NY 10017 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P Morgan Securities Llc. | New York | NY | 11/2012 | 12/2018 |
| Moneylion Securities, Llc | New York | NY | 03/2019 | 01/2020 |
| Wells Fargo Clearing Services, Llc | New York | NY | 06/2022 | Present |
| Windsor | New York | NY | 09/2021 | Present |
| Unemployed | Brooklyn | NY | 01/2020 | 09/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-09-20 |
| S65 | Uniform Investment Adviser Law Examination | 1999-07-08 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-28 |
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