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Karen Joanne Neff

Wells Fargo Clearing Services, LLC

Marshalltown, IA

West Des Moines, IA

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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
IA RA APPROVED 2016-01-22
  • IA RA
    APPROVED
    Since 2016-01-22

Branch Locations

14 E Southridge, Marshalltown, IA 50158 • United States

6400 Westown Pkwy Ste 115, West Des Moines, IA 50266 • 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 West Des Moines IA 01/2016 11/2016
Wells Fargo Clearing Services, Llc West Des Moines IA 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-22
S63 Uniform Securities Agent State Law Examination 1996-05-13
  • S66 Uniform Combined State Law Examination
    2016-01-22
  • S63 Uniform Securities Agent State Law Examination
    1996-05-13

View on SEC IAPD

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