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James Jay Rudin

Wells Fargo Clearing Services, LLC

Medina, MN

Cottonwood Heights, UT

Bloomington, MN

CRD 2235147

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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
UT RA APPROVED 2020-02-11
MN RA APPROVED 2013-11-05
TX RA APPROVED_RES 2011-06-16
  • UT RA
    APPROVED
    Since 2020-02-11
  • MN RA
    APPROVED
    Since 2013-11-05
  • TX RA
    APPROVED_RES
    Since 2011-06-16

Branch Locations

Medina, MN • United States

Cottonwood Heights, UT • United States

8500 Normandale Lake Blvd Ste 1710, Bloomington, MN 55437 • 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 Llc Minneapolis MN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Minneapolis MN 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-10-03
S63 Uniform Securities Agent State Law Examination 1992-06-05
  • S65 Uniform Investment Adviser Law Examination
    2019-10-03
  • S63 Uniform Securities Agent State Law Examination
    1992-06-05
Other Names
  • Jim Rudin

View on SEC IAPD

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