Kendall David Higginbotham

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-03-15
FL	RA	APPROVED	2003-07-01

TX RA
APPROVED_RES

Since 2023-03-15
FL RA
APPROVED

Since 2003-07-01

Branch Locations

818 Us Highway A1A N Stes 200 & 206, Ponte Vedra Beach, FL 32082 • United States

Disclosures

2 disclosure categories 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.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Jacksonville	FL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Jacksonville	FL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Jacksonville, FL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Jacksonville, FL

Previous Registrations

1998-07-20 → 2003-07-01

Prudential Equity Group, Llc

Jacksonville, FL

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-07-23
S65	Uniform Investment Adviser Law Examination	1996-07-23

S63 Uniform Securities Agent State Law Examination

1996-07-23
S65 Uniform Investment Adviser Law Examination

1996-07-23

Other Names

Kendall D Higginbotham

View on SEC IAPD