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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_RES 2014-04-16
MN RA APPROVED 2014-01-22
  • TX RA
    APPROVED_RES
    Since 2014-04-16
  • MN RA
    APPROVED
    Since 2014-01-22

Branch Locations

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

90 S 7Th St 10Th & 11Th Fls [Ge-Rbo], Minneapolis, MN 55402 • 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, N.A Cottage Grove MN 08/1999 Present
Wells Fargo Advisors, Llc Cottage Grove MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Cottage Grove MN 11/2016 Present
  • 08/1999 → Present
    Wells Fargo Bank, N.A
    Cottage Grove, MN
  • 01/2011 → 11/2016
    Wells Fargo Advisors, Llc
    Cottage Grove, MN
  • 11/2016 → Present
    Cottage Grove, MN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-03-31
  • S63 Uniform Securities Agent State Law Examination
    2010-03-31
Other Names
  • Sailaja Ganapathy

View on SEC IAPD

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