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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-17 |
| AZ | RA | APPROVED | 2023-03-24 |
| TX | RA | APPROVED_RES | 2023-03-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Peoria | AZ | 06/2009 | 03/2023 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 03/2023 |
| Wells Fargo Clearing Services, Llc | Surprise | AZ | 03/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
"FROM THE BRIGHTEST PLACES COME THE BRIGHTEST LIGHTS", NOT INVT RELATED, LITCHFIELD PARK, AZ, AUTHOR, START DATE 6/6/2023, 0 HRS PER MONTH AND DURING TRADING, AUTHOR OF BOOK. | BEQUEST FROM FRIEND TO SPOUSE; INV RELATED; PEORIA, AZ; WIFE WAS NAMED BENEFICIARY; 04/2025; 1 HOUR PER MONTH; 0 DURING TRADING; WIFE WAS NAME 3% BENEFICIARY AFTER FAMILY FRIEND DIED
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-03-30 |
| S65 | Uniform Investment Adviser Law Examination | 1994-03-30 |
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