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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2019-07-17 |
| VA | RA | APPROVED | 1999-10-01 |
Branch Locations
1021 E Cary St 22Nd Fl James Center Ii, Richmond, VA 23219 • United States
Richmond, VA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Richmond | VA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Richmond | VA | 11/2016 | Present |
RENTAL PROPERTY; INVESTMENT RELATED; NAGS HEAD, NC; 100% OWNERSHIP WITH SPOUSE; START DATE 8/1/2007; 2 HOURS PER MONTH; 0 DURING TRADING; DUTIES ARE TO PAY BILLS AND HOUSE UPKEEP. SEAPOINT PARADISE LLC; INV RELATED; NAGS HEAD, NC; 100% OWNERHIP; START DATE 3/12/2024; 6 HOURS PER MONTH; 0 DURING TRADING; OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-14 |
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