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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_RES | 2022-03-10 |
| NY | RA | APPROVED | 2022-03-03 |
| NJ | RA | APPROVED | 2021-06-29 |
Branch Locations
280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 05/2021 |
| Wells Fargo Bank, Na | Park Ridge | NJ | 08/2005 | Present |
| Wells Fargo Clearing Services, Llc | Park Ridge | NJ | 05/2021 | Present |
PUBLIC PARTNERSHIPS, NOT INVT RELATED, BOSTON, MA, CAREGIVER, START 3/13/2022, 22 HOURS PER MONTH, ZERO DURING TRADING, DAILY ACTIVITY HELP FOR SPECIAL NEEDS SISTER. HEART TO HEART HOME CARE; NOT INVT RELATED, EAST ORANGE,NJ; CAREGIVER; START DATE 3/1/2023, 48 HOURS PER MONTH, ZERO DURING TRADING, DAILY ACTIVITY HELP FOR SPECIAL NEEDS SISTER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-28 |
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