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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2023-11-27 |
Branch Locations
767 5Th Ave 33Rd Fl [Y2-Rbo], New York, NY 10153 • United States
781 Broadway, New York, NY 10003 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Key Investment Services | Mahopac | NY | 02/2011 | 12/2020 |
| Key Investment Services Llc | Fairfield | CT | 12/2020 | 01/2022 |
| Key Investment Services Llc | Brooklyn | OH | 01/2022 | 05/2022 |
| Wells Fargo Clearing Services, Llc | New York | NY | 05/2022 | 05/2022 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2023 | Present |
| Key Investement Services Llc | White Plains | NY | 05/2022 | 11/2023 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-03 |
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