Kaivon Andrew Maknoon

Wells Fargo Clearing Services, LLC

CRD 2199067

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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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-01-08
PA	RA	APPROVED	2012-02-28

TX RA
APPROVED_RES

Since 2020-01-08
PA RA
APPROVED

Since 2012-02-28

Branch Locations

301 Grant St Ste 3600 [Lz-Rbo], Pittsburgh, PA 15219 • United States

301 Grant St Ste 3600 One Oxford Centre, Pittsburgh, PA 15219 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Pittsburgh	PA	09/2009	11/2016
Wachovia Bank, N.A.	Pittsburgh	PA	08/2009	Present
Wells Fargo Clearing Services, Llc	Pittsburgh	PA	11/2016	Present

09/2009 → 11/2016

Wells Fargo Advisors Llc

Pittsburgh, PA
08/2009 → Present

Wachovia Bank, N.A.

Pittsburgh, PA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Pittsburgh, PA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-02-27
S63	Uniform Securities Agent State Law Examination	1992-01-27

S66 Uniform Combined State Law Examination

2012-02-27
S63 Uniform Securities Agent State Law Examination

1992-01-27

View on SEC IAPD

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