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Adam A Schwalb

Wells Fargo Clearing Services, LLC

Lighthouse Point, FL

Boca Raton, FL

CRD 2559860

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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
FL RA APPROVED 2006-07-25
  • FL RA
    APPROVED
    Since 2006-07-25

Branch Locations

3550 N Federal Hwy, Lighthouse Point, FL 33064 • United States

1675 N Military Trail Ste 500 [F1/F5-Rbo], Boca Raton, FL 33486 • 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 Lighthouse Point FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Lighthouse Point FL 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-20
S63 Uniform Securities Agent State Law Examination 1995-02-17
  • S66 Uniform Combined State Law Examination
    2002-09-20
  • S63 Uniform Securities Agent State Law Examination
    1995-02-17

View on SEC IAPD

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