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Brett Stone Underberg

Wells Fargo Clearing Services, LLC

West Des Moines, IA

Fort Dodge, IA

Punta Gorda, FL

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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
FL RA APPROVED 2025-02-13
TX RA APPROVED_RES 2022-07-29
IA RA APPROVED 2022-04-28
  • FL RA
    APPROVED
    Since 2025-02-13
  • TX RA
    APPROVED_RES
    Since 2022-07-29
  • IA RA
    APPROVED
    Since 2022-04-28

Branch Locations

6400 Westown Parkway Suite 115 [Ga/Gw-Rbo], West Des Moines, IA 50266 • United States

822 Central Ave, Fort Dodge, IA 50501 • United States

Punta Gorda, FL • 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
Lpl Financial Llc West Des Moines IA 12/2012 04/2022
Wells Fargo Clearing Services, Llc Des Moines IA 04/2022 Present
Previous Registrations
  • 2012-12-17 → 2022-06-03
    Lpl Financial Llc
    West Des Moines, IA
    West Des Moines, IA
    Perry, IA
    West Des Moines, IA
  • 2011-01-03 → 2012-12-18
    Wells Fargo Clearing Services, Llc
    Perry, IA
    Jefferson, IA
    Clive, IA
    Johnston, IA
  • 2008-06-09 → 2011-01-03
    Wells Fargo Investments, Llc
    Johnston, IA
    Clive, IA
    Johnston, IA
    Jefferson, IA
    Perry, IA
Other Businesses

CORNERSTONE UNLIMITED, LLC, INVT RELATED, ALTOONA, IOWA, 100% OWNERSHIP, START DATE 5/24/2022, 1 HR PER MONTH, 0 HRS DURING TRADING, FOR RENTAL PROPERTY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-07
S63 Uniform Securities Agent State Law Examination 1995-06-12
  • S66 Uniform Combined State Law Examination
    2008-06-07
  • S63 Uniform Securities Agent State Law Examination
    1995-06-12
Other Names
  • Brett Stone Underberg

View on SEC IAPD

Other Firms

PRINCIPAL SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
FOSTER GROUP, INC.
KSA PARTNERS, LLC
LPL FINANCIAL LLC
ARETE WEALTH ADVISORS, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
PARK AVENUE SECURITIES LLC

Other Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE
EDDIE RAY COLEMAN
JAMES LAWRENCE LUMLEY
CONOR J BOFFELI
Signe Olson
ANDREW JAY HIMELSON

Other Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA
FOSTER GROUP, INC. · WEST DES MOINES, IA
KSA PARTNERS, LLC · WEST DES MOINES, IA
LPL FINANCIAL LLC · WEST DES MOINES, IA
ARETE WEALTH ADVISORS, LLC · WEST DES MOINES, IA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WEST DES MOINES, IA

More in West Des Moines, IA

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