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Joseph J Flego

Wells Fargo Clearing Services, LLC

New York, NY

Staten Island, NY

CRD 2698774

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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
NY RA APPROVED 2021-07-22
NJ RA APPROVED 2017-08-28
  • NY RA
    APPROVED
    Since 2021-07-22
  • NJ RA
    APPROVED
    Since 2017-08-28

Branch Locations

1 Penn Plaza 27Th Fl [Support Center], New York, NY 10119 • United States

Staten Island, NY • 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 Washington DC 11/2009 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 Present
Previous Registrations
  • 2000-01-19 → 2004-12-31
    Chase Investment Services Corp.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-16
S63 Uniform Securities Agent State Law Examination 1997-05-05
  • S66 Uniform Combined State Law Examination
    2020-11-16
  • S63 Uniform Securities Agent State Law Examination
    1997-05-05
Other Names
  • Joseph John Flego

View on SEC IAPD

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