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Ellen Mary Gaitings

Wells Fargo Clearing Services, LLC

Melville, NY

CRD 5131274

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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
NY RA APPROVED 2021-07-18
TX RA APPROVED_RES 2012-03-06
  • NY RA
    APPROVED
    Since 2021-07-18
  • TX RA
    APPROVED_RES
    Since 2012-03-06

Branch Locations

68 S Service Rd Ste 200, Melville, NY 11747 • 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
Home Maker Massapequa NY 01/1987 Present
Wells Fargo Advisors Llc Melville NY 11/2011 11/2016
Wells Fargo Clearing Services, Llc Melville NY 11/2016 Present
  • 01/1987 → Present
    Home Maker
    Massapequa, NY
  • 11/2011 → 11/2016
    Wells Fargo Advisors Llc
    Melville, NY
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Melville, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-11-10
  • S63 Uniform Securities Agent State Law Examination
    2010-11-10

View on SEC IAPD

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