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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2023-05-18 |
| CA | RA | APPROVED | 2013-01-31 |
Branch Locations
3700 Old Redwood Hwy Ste 108, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Santa Rosa | CA | 01/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Santa Rosa | CA | 11/2016 | Present |
RENTAL PROPERTY; INV. RELATED; SANTA ROSA, CA; CO-TRUSTEE; OWNED BY TRUST; START DATE 9/22/2016; 0 HRS PER MONTH; 0 HRS DURING TRADING. RENTAL PROPERTY; INV. RELATED; SANTA ROSA, CA; CO-TRUSTEE; OWNED BY TRUST; START DATE 9/22/2016; 0 HRS PER MONTH; 0 HRS DURING TRADING. VINEYARD / WINERY LEASE OF LAND, NOT INV RELATED, NAPA, CA, 18% OWNERSHIP WITH SPOUSE, INHERITED 6/11/2011, NO HOURS, NO DUTIES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-14 |
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