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James Darby Barrett

Wells Fargo Clearing Services, LLC

Arvada, CO

Denver, CO

CRD 2211094

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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_RES 2016-07-07
CO RA APPROVED 2012-05-25
  • TX RA
    APPROVED_RES
    Since 2016-07-07
  • CO RA
    APPROVED
    Since 2012-05-25

Branch Locations

6330 Mcintyre Pkwy, Arvada, CO 80403 • United States

1700 Lincoln St 10Th & 11Th Fls [Ma/Md-Rbo], Denver, CO 80203 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Greenwood Village CO 05/2012 11/2016
Wells Fargo Clearing Services, Llc Greenwood Village CO 11/2016 Present
Previous Registrations
  • 2008-02-26 → 2012-05-30
    Chase Investment Services Corp.
    Littleton, CO
    Littleton, CO
    Evergreen, CO
    Evergreen, CO
    Littleton, CO
    Golden, CO
    Aurora, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-20
S63 Uniform Securities Agent State Law Examination 1992-05-05
  • S66 Uniform Combined State Law Examination
    2008-02-20
  • S63 Uniform Securities Agent State Law Examination
    1992-05-05
Other Names
  • Darby Barrett

View on SEC IAPD

Nearby Firms

ASPEN WEALTH STRATEGIES, LLC
LPL FINANCIAL LLC
VASCORP WEALTH ADVISORS

Nearby Investors

KELLIE G BEIERS
CADE NATHANIEL HENGEL
Blake Wilson

Nearby Offices

ASPEN WEALTH STRATEGIES, LLC · ARVADA, CO
LPL FINANCIAL LLC · ARVADA, CO
VASCORP WEALTH ADVISORS · ARVADA, CO

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