Charles Raymond Coomes

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
IN	RA	APPROVED	2025-01-23
PA	RA	APPROVED	2021-01-13
TX	RA	APPROVED_RES	2020-02-12

IN RA
APPROVED

Since 2025-01-23
PA RA
APPROVED

Since 2021-01-13
TX RA
APPROVED_RES

Since 2020-02-12

Branch Locations

Evansville, IN • United States

100 N 18Th St 22Nd Fl [L2-Rbo], Philadelphia, PA 19103 • United States

150 N Radnor-Chester Rd Ste A100, Radnor, PA 19087 • 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 No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Clearing Services, Llc	Saint Louis	MO	04/2016	Present

04/2016 → Present

Wells Fargo Clearing Services, Llc

Saint Louis, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-03-30

S66 Uniform Combined State Law Examination

2019-03-30

Other Names

Charles Raymond Commes
Charles Raymond Commes
Charles Raymond Coomes
Chuck Coomes

View on SEC IAPD