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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2019-10-25 |
| TX | RA | APPROVED | 2019-10-25 |
Branch Locations
30 S Wacker Dr 39Th & 40Th Fls, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Chicago | IL | 12/2014 | 10/2019 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 10/2019 | Present |
53 RECORDS, INC. NOT INVT RELATED, NEW YORK, NY, 19.47% OWNERSHIP, START DATE 2/7/2010, 2 HRS PER MONTH, 0 HRS DURING TRADING, MONITOR BANK ACCOUNT AND HELP MANAGE EXPENSES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 2009-11-24 |
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