Stephen Glenn Krochmal

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2014 → 07/2019
  Ameriprise Financial Services, Inc.
  Walnut Creek, CA
• 07/2019 → Present
  Wells Fargo Clearing Services, Llc
  Walnut Creek, CA

Previous Registrations

• 2014-12-26 → 2019-07-30
  Ameriprise Financial Services, Llc
  Walnut Creek, CA
• 2001-02-01 → 2015-01-02
  Mml Investors Services, Llc
  Walnut Creek, CA
  Pleasanton, CA

Other Businesses

DBA KKP FINANCIAL AND INSURANCE SERVICES, INVT RELATED, PLEASANT HILL, CA, 100% OWNERSHIP, START DATE 1/1/2000, 1 HR PER MONTH, 0 HRS DURING TRADING, COLLECT RENEWALL COMMISSIONS. TRUSTEE FOR FRIENDS TRUST, INV RELATED, PLEASANT HILL, CA, START: 1/01/2006, LESS THAN 1 HR MONTH, 0 HRS DURING TRADING. BRIGHT HOUSE, HIGHLAND CAPITAL BROKERAGE, MASSMUTUAL, METLIFE, PRINCIPAL LIFE, PETERSON INTERNATIONAL, PROTECTIVE LIFE INSURANCE COMPANY, STANDARD AND UNITED OF OMAHA; SUNLIFE; AIG; LINCOLN; INV. RELATED; PLEASANT HILL, CA; TRAIL COMMISSIONS; START DATE 1/2000; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: RECEIVING TRAIL COMMISSIONS. BIO-RAD; INVESTMENT RELATED; HERCULES,CA; PASSPORT TO RETIREMENT INSTRUCTOR; START DATE 04/21/2020; NUMBER OF HOURS PER MONTH 6; NUMBER OF HOURS DURING TRADING 0; TEACHING WHY PLAN, ROAD BLOCKS TO RETIREMENT, INCOME SOURCES, INVESTMENTS, INSURANCE, AND ESTATE PLANNING. SAVE MOUNT DIABLO, INVT RELATED, WALNUT CREEK, CA, FINANCE COMMITTEE MEMBER, START DATE 8/1/2023, 2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS DISCUSSING FINANCIALS OF THE COMPANY.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-09-20
• S63 Uniform Securities Agent State Law Examination
  1993-08-25

Other Names

• Stephen Glenn Krochmal