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James Botte

Wells Fargo Clearing Services, LLC

Short Hills, NJ

CRD 5595755

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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
TX RA APPROVED 2025-12-08
  • TX RA
    APPROVED
    Since 2025-12-08

Branch Locations

51 John F Kennedy Pkwy 5Th Fl Office Center At Short Hills, Short Hills, NJ 07078 • 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
Jpmorgan Chase Bank Na New York NY 03/2015 12/2016
Citigroup Management Corp. New York NY 01/2017 04/2019
Wells Fargo Clearing Services St Louis MO 04/2019 09/2024
Td Securities (Usa) Llc New York NY 09/2024 09/2025
Wells Fargo Clearing Services, Llc. Short Hills NJ 09/2025 Present
  • 03/2015 → 12/2016
    Jpmorgan Chase Bank Na
    New York, NY
  • 01/2017 → 04/2019
    Citigroup Management Corp.
    New York, NY
  • 04/2019 → 09/2024
    Wells Fargo Clearing Services
    St Louis, MO
  • 09/2024 → 09/2025
    Td Securities (Usa) Llc
    New York, NY
  • 09/2025 → Present
    Wells Fargo Clearing Services, Llc.
    Short Hills, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-12-08
S63 Uniform Securities Agent State Law Examination 2008-11-03
  • S65 Uniform Investment Adviser Law Examination
    2025-12-08
  • S63 Uniform Securities Agent State Law Examination
    2008-11-03
Other Names
  • James V Botte
  • James Botte
  • James Vincent Botte

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
RIDGEWOOD INVESTMENTS
J.P. MORGAN SECURITIES LLC

Nearby Investors

DAVID SETH LEIBOWITZ
VALERIE RUBIO LEMMON
TERRANCE PATRICK MCGUIRE

Nearby Offices

LPL FINANCIAL LLC · SHORT HILLS, NJ
RIDGEWOOD INVESTMENTS · SPRINGFIELD, NJ
J.P. MORGAN SECURITIES LLC · SHORT HILLS, NJ

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