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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-06-09 |
Branch Locations
6000 Fairview Rd 8Th Fl [Support Center], Charlotte, NC 28210 • United States
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 |
|---|---|---|---|---|
| Pnc Investments | Charlotte | NC | 12/2014 | 05/2017 |
| Pnc Investments | Charlotte | NC | 03/2018 | 09/2021 |
| Pnc Investments | Charlotte | NC | 05/2017 | 03/2018 |
| Ubs Financial Services | Charlotte | NC | 09/2021 | 09/2022 |
| Truist Investment Services, Inc. | Charlotte | NC | 09/2022 | 06/2025 |
| Truist Advisory Services, Inc. | Charlotte | NC | 09/2022 | 06/2025 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 06/2025 | Present |
JAMES THORNTON LLC ; INV RELATED; CHARLOTTE, NC; SELLING ITEMS ON ONLINE MARKET PLACES ;100% OWNERSHIP; START DATE: 10/03/2025; 8 HRS PER MONTH; 0 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 2010-11-04 |
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