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Richard Joseph Ciarletta

Wells Fargo Clearing Services, LLC

New York, NY

CRD 2537726

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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
NY RA APPROVED 2026-01-30
NJ RA APPROVED 2026-01-29
  • NY RA
    APPROVED
    Since 2026-01-30
  • NJ RA
    APPROVED
    Since 2026-01-29

Branch Locations

1 Penn Plaza 27Th Fl [Support Center], New York, NY 10119 • 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
Credit Suisse Securities (Usa) Llc New York NY 04/2010 01/2017
Ubs Financial Services Inc. New York NY 03/2017 06/2025
Wells Fargo Clearing Services, Llc New York NY 01/2026 Present
Unemployed Matawan NJ 06/2025 01/2026
Previous Registrations
  • 2017-03-27 → 2025-07-21
    Ubs Financial Services Inc.
    New York, NY
    Weehawken, NJ
    Matawan, NJ
  • 2016-09-07 → 2017-01-17
    Credit Suisse Securities (Usa) Llc
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-06
S63 Uniform Securities Agent State Law Examination 1995-09-28
  • S66 Uniform Combined State Law Examination
    2016-09-06
  • S63 Uniform Securities Agent State Law Examination
    1995-09-28
Other Names
  • Richard Ciarletta

View on SEC IAPD

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