Kimberly Patton Swaim

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2014 → 11/2016
  Wells Fargo Advisors, Llc
  Durham, NC
• 12/2004 → 09/2022
  Wells Fargo Bank Na
  Durham, NC
• 11/2016 → 09/2022
  Wells Fargo Clearing Services, Llc
  Durham, NC
• 09/2022 → Present
  Wells Fargo Clearing Services, Llc
  Raleigh, NC

Previous Registrations

• 2014-06-04 → 2021-04-23
  Wells Fargo Clearing Services, Llc
  Durham, NC
  Raleigh, NC
  Raleigh, NC
  Wilmington, NC
  Raleigh, NC
  Raleigh, NC

Other Businesses

ADMINISTRATOR FOR MOTHER-IN-LAW; INV. RELATED; GRAHAM, NC; START DATE 3/13/2024; 4 MONTHS PER HOUR; 0 HOURS DURING NORMAL BUSINESS HOURS.; EXECUTOR FOR FATHER-IN-LAW, INV RELATED, GRAHAM, NC, START: 7/8/2024, 5 HOURS A MONTH, 0 HOURS DURING TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-06-03
• S63 Uniform Securities Agent State Law Examination
  2014-05-13

Other Names

• Kimberly Patton Little
• Kimberly Patton Little
• Kim Swaim
• Kimberly Michelle Patton
• Kimberly Swaim