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Derek Shane Cason

Wells Fargo Clearing Services, LLC

Tarpon Springs, FL

Dallas, TX

CRD 6404521

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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
TX RA APPROVED 2019-08-20
  • TX RA
    APPROVED
    Since 2019-08-20

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

8115 Preston Rd Ste 300, Dallas, TX 75225 • 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 Clearing Services, Llc Murphy TX 11/2014 04/2019
Wells Fargo Bank, Na Murphy TX 07/2012 04/2019
Wells Fargo Bank, Na Murphy TX 08/2019 Present
Wells Fargo Clearing Services, Llc Murphy TX 08/2019 Present
Frost Bank Dallas TX 04/2019 05/2019
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-17
S63 Uniform Securities Agent State Law Examination 2014-11-26
  • S65 Uniform Investment Adviser Law Examination
    2014-12-17
  • S63 Uniform Securities Agent State Law Examination
    2014-11-26

View on SEC IAPD

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