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Brian Franzen

Wells Fargo Clearing Services, LLC

Minneapolis, MN

Oak Park, MN

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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
MN RA APPROVED 2018-12-03
  • MN RA
    APPROVED
    Since 2018-12-03

Branch Locations

550 S 4Th St 14Th Fl [Regional Supervision], Minneapolis, MN 55415 • United States

Oak Park, MN • 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
Cetera Investement Services St Cloud MN 06/2014 11/2018
Cetera Investment Advisors Llc St. Cloud MN 10/2017 11/2018
Wells Fargo Clearing Services Minneapolis MN 11/2018 Present
  • 06/2014 → 11/2018
    Cetera Investement Services
    St Cloud, MN
  • 10/2017 → 11/2018
    Cetera Investment Advisors Llc
    St. Cloud, MN
  • 11/2018 → Present
    Wells Fargo Clearing Services
    Minneapolis, MN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-10-02
S63 Uniform Securities Agent State Law Examination 1994-10-25
  • S65 Uniform Investment Adviser Law Examination
    2017-10-02
  • S63 Uniform Securities Agent State Law Examination
    1994-10-25
Other Names
  • Brian Lee Franzen

View on SEC IAPD

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