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Richard Wayne Hobbs

Wells Fargo Clearing Services, LLC

Johnson City, TN

CRD 2435127

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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
VA RA APPROVED 2015-09-24
TX RA APPROVED_RES 2011-11-03
TN RA APPROVED 2004-02-04
  • VA RA
    APPROVED
    Since 2015-09-24
  • TX RA
    APPROVED_RES
    Since 2011-11-03
  • TN RA
    APPROVED
    Since 2004-02-04

Branch Locations

203 Broyles Dr Ste 200, Johnson City, TN 37601 • 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 Johnson City TN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Johnson City TN 11/2016 Present
Previous Registrations
  • 2000-09-18 → 2002-06-20
    Wachovia Securities, Inc.
    Bristol, TN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-01-03
S65 Uniform Investment Adviser Law Examination 1994-01-03
  • S63 Uniform Securities Agent State Law Examination
    1994-01-03
  • S65 Uniform Investment Adviser Law Examination
    1994-01-03

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
UBS FINANCIAL SERVICES INC.

Nearby Investors

THOMAS E DOTSON
ROBERT KEITH HOBBS
SONYA KAYE HENSLEY

Nearby Offices

LPL FINANCIAL LLC · JOHNSON CITY, TN
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Johnson City, TN
UBS FINANCIAL SERVICES INC. · JOHNSON CITY, TN

More in Johnson City, TN

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