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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-30 |
| CA | RA | APPROVED | 2016-10-24 |
Branch Locations
15760 Ventura Blvd Ste 1250 [Sk-Rbo], Encino, CA 91436 • United States
3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States
Westlake Village, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, N.A. | Northridge | CA | 10/2005 | Present |
| Wells Fargo Advisors, Llc | Northridge | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Northridge | CA | 11/2016 | Present |
TIERRA DEL SOL, INVT RELATED, SUNLAND, CA, FINANCE COMMITTEE, START 3/1/2016, 2 HRS PER MONTH, 1 HR DURING TRADING, ATTENDING MEETINGS, REVIEWING MANAGEMENTS COMPENSATION, OVERSEEING BUDGET AND ASSISTING WITH FUNDRAISERS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-24 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-17 |
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