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Louis Anthony Montana

Wells Fargo Clearing Services, LLC

Oak Brook, IL

CRD 2629171

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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
IL RA APPROVED 2018-05-25
TX RA APPROVED 2018-05-25
  • IL RA
    APPROVED
    Since 2018-05-25
  • TX RA
    APPROVED
    Since 2018-05-25

Branch Locations

1515 W 22Nd St Ste 700, Oak Brook, IL 60523 • 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
Ubs Financial Services In Oakbrook Terrace IL 01/2009 05/2018
Wells Fargo Clearing Services Llc Oak Brook IL 05/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-06
S63 Uniform Securities Agent State Law Examination 2000-06-22
  • S65 Uniform Investment Adviser Law Examination
    2000-07-06
  • S63 Uniform Securities Agent State Law Examination
    2000-06-22
Designations
  • Certified Financial Planner
Other Names
  • Louis A Montana

View on SEC IAPD

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