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Kristiane Patrick Sweeney

Wells Fargo Clearing Services, LLC

El Segundo, CA

Los Angeles, CA

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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
CA RA APPROVED 2021-03-19
  • CA RA
    APPROVED
    Since 2021-03-19

Branch Locations

2141 Rosecrans Ave Ste 4100 [Lg/Lb-Rbo], El Segundo, CA 90245 • United States

3321 S La Cienaga Blvd Ste B, Los Angeles, CA 90016 • 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, Na Culver City CA 05/2011 Present
Wells Fargo Advisors Llc Los Angeles CA 01/2014 11/2016
Wells Fargo Clearing Services, Llc Culver City CA 11/2016 Present
  • 05/2011 → Present
    Wells Fargo Bank, Na
    Culver City, CA
  • 01/2014 → 11/2016
    Wells Fargo Advisors Llc
    Los Angeles, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Culver City, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-19
S63 Uniform Securities Agent State Law Examination 2014-03-12
  • S65 Uniform Investment Adviser Law Examination
    2021-03-19
  • S63 Uniform Securities Agent State Law Examination
    2014-03-12

View on SEC IAPD

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Other Offices

MORGAN STANLEY · El Segundo, CA
WELLS FARGO CLEARING SERVICES, LLC · EL SEGUNDO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · EL SEGUNDO, CA
SOLACE CAPITAL PARTNERS, L.P. · EL SEGUNDO, CA
STRANDVIEW CAPITAL, LLC · EL SEGUNDO, CA
UBS FINANCIAL SERVICES INC. · El Segundo, CA
UBS FINANCIAL SERVICES INC. · El Segunda, CA
LPL FINANCIAL LLC · EL SEGUNDO, CA

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