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Frederic Luther Sjostrom

Wells Fargo Clearing Services, LLC

Birmingham, AL

Pelham, AL

Birmingham, AL

Alabaster, AL

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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 2025-11-13
AL RA APPROVED 2014-10-10
  • TX RA
    APPROVED
    Since 2025-11-13
  • AL RA
    APPROVED
    Since 2014-10-10

Branch Locations

5376 Highway 280, Birmingham, AL 35242 • United States

2261 Highway 31 S, Pelham, AL 35124 • United States

2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • United States

500 Colonial Promenade Pkwy, Alabaster, AL 35007 • 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 Birmingham AL 10/2014 11/2016
Wells Fargo Clearing Services, Llc Birmingham AL 11/2016 Present
Previous Registrations
Other Businesses

USA ULTIMATE, NOT INV RELATED, COLORADO SPRINGS, CO, OBSERVER, START 6/1/19, 4HRS PER MONTH, 0 HRS DURING TRADING, OBSERVE(REFEREE) ULTIMATE GAMES;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-06-21
S65 Uniform Investment Adviser Law Examination 1995-06-21
  • S63 Uniform Securities Agent State Law Examination
    1995-06-21
  • S65 Uniform Investment Adviser Law Examination
    1995-06-21
Designations
Other Names
  • Ric Sjostrom
  • Frederic L (Iii) Sjostrom

View on SEC IAPD

Other Firms

THRIVENT INVESTMENT MANAGEMENT INC.
PFS INVESTMENTS INC.
PMD ADVISORY
CETERA INVESTMENT ADVISERS LLC
NFSG CORPORATION
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES
USA FINANCIAL SECURITIES LLC

Other Investors

THOMAS MICHAEL NOON
Susan Hunter Koski
Luke Banks
David Mathews
MARILYN ANN EDDINGS
JAMES IRA MCCORMICK
MELANIE SHIRLEY DICKINSON
BRENNA ROSE PRITCHETT

Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL
CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

More in Birmingham, AL

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