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Carrie J O'NEill

Wells Fargo Clearing Services, LLC

Tarpon Springs, FL

Davenport, IA

CRD 5639229

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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
IA RA APPROVED 2011-01-03
  • IA RA
    APPROVED
    Since 2011-01-03

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

5407 Victoria Ave, Davenport, IA 52807 • 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 Bank Davenport IA 12/1981 Present
Wells Fargo Advisors Llc Davenport IA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Davenport IA 11/2016 Present
  • 12/1981 → Present
    Wells Fargo Bank
    Davenport, IA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Davenport, IA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Davenport, IA
Previous Registrations
  • 2009-09-22 → 2011-01-03
    Wells Fargo Investments, Llc
    Davenport, IA
Other Businesses

ADMINISTRATOR FOR COUSIN'S ESTATE; INV. RELATED; BETTENDORF, IA; START DATE 11/2022; 15 HRS PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-21
  • S66 Uniform Combined State Law Examination
    2009-09-21

View on SEC IAPD

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