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Sharon Rae Morris

Wells Fargo Clearing Services, LLC

Rochester, MN

Minneapolis, 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
TX RA APPROVED_RES 2019-07-30
MN RA APPROVED 2013-11-05
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2019-07-30
  • MN RA
    APPROVED
    Since 2013-11-05
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

21 1St St Sw 6Th Fl, Rochester, MN 55902 • United States

90 S 7Th St 10Th & 11Th Fls [Ge-Rbo], Minneapolis, MN 55402 • 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 Rochester MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Rochester MN 11/2016 Present
Previous Registrations
  • 2004-12-10 → 2011-01-03
    Wells Fargo Investments, Llc
    Rochester, MN
    Rochester, MN
    Rochester, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-07
S63 Uniform Securities Agent State Law Examination 1994-05-25
  • S65 Uniform Investment Adviser Law Examination
    2002-05-07
  • S63 Uniform Securities Agent State Law Examination
    1994-05-25
Other Names
  • Sharon Broin

View on SEC IAPD

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Other Offices

MORGAN STANLEY · ROCHESTER, MN
MML INVESTORS SERVICES, LLC · ROCHESTER, MN
MARINER · Rochester, MN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Rochester, MN
STRATEGIC WEALTH GROUP · Rochester, MN
U.S. BANCORP ADVISORS, LLC · Rochester, MN
CETERA INVESTMENT ADVISERS LLC · ROCHESTER, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROCHESTER , MN

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