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Stephanie Fries

Wells Fargo Clearing Services, LLC

Tampa, FL

CRD 3142545

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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 2018-11-26
  • FL RA
    APPROVED
    Since 2018-11-26

Branch Locations

4030 W Boy Scout Blvd Ste 150, Tampa, FL 33607 • 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
Morgan Stanley Tampa FL 06/2015 11/2016
Wells Fargo Advisors, Llc Tampa FL 11/2016 11/2016
Wells Fargo Clearing Services, Llc Tampa FL 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-28
S63 Uniform Securities Agent State Law Examination 2008-01-17
  • S66 Uniform Combined State Law Examination
    2023-03-28
  • S63 Uniform Securities Agent State Law Examination
    2008-01-17
Other Names
  • Stephanie K Osterhoudt
  • Stephanie Kathryn Osterhoudt
  • Stephanie Kathryn Fries

View on SEC IAPD

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