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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:

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
NJ RA APPROVED 2025-12-10
TX RA APPROVED_RES 2025-03-27
NY RA APPROVED 2025-03-26
  • NJ RA
    APPROVED
    Since 2025-12-10
  • TX RA
    APPROVED_RES
    Since 2025-03-27
  • NY RA
    APPROVED
    Since 2025-03-26

Branch Locations

280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Private Bank, National Association New York NY 10/2015 11/2017
Stifel Nicolaus & Co Inc New York NY 11/2017 03/2025
Wells Fargo Clearing Services, Llc New York NY 03/2025 Present
  • 10/2015 → 11/2017
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 11/2017 → 03/2025
    Stifel Nicolaus & Co Inc
    New York, NY
  • 03/2025 → Present
    New York, NY
Previous Registrations
Other Businesses

1. Frank Burns Scholarship Fund - RFund at Rutgers University; 201 Fitch Road, Piscataway, NJ 08854; Raise money for a scholarship fund; Volunteer Board; Promote the event; 01/04/2022; 35 Hours per Year; not during securities trading hours; not investment-related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-07
S63 Uniform Securities Agent State Law Examination 2014-04-16
  • S66 Uniform Combined State Law Examination
    2015-08-07
  • S63 Uniform Securities Agent State Law Examination
    2014-04-16
Other Names
  • Manny Collins
  • Leslie Antione Collins
  • Leslie Collins

View on SEC IAPD

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