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Quentin John Heffron

Wells Fargo Clearing Services, LLC

Santa Fe, NM

Albuquerque, NM

CRD 3151543

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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_RES 2011-10-14
NM RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2011-10-14
  • NM RA
    APPROVED
    Since 2008-01-01

Branch Locations

315 Paseo De Peralta, Santa Fe, NM 87501 • United States

6501 Americas Pkwy Ne Ste 1000, Albuquerque, NM 87110 • 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 Advisors Llc Santa Fe NM 05/2009 11/2016
Wells Fargo Clearing Services, Llc Santa Fe NM 11/2016 Present
Previous Registrations
  • 2007-02-21 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Albuquerque, NM
    St. Louis, MO
    Albuquerque, NM
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-20
S63 Uniform Securities Agent State Law Examination 1999-01-15
  • S66 Uniform Combined State Law Examination
    2007-02-20
  • S63 Uniform Securities Agent State Law Examination
    1999-01-15

View on SEC IAPD

Nearby Firms

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
G. ALLEN FINANCIAL INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Nearby Investors

LAWRENCE ELLIOT SCHWARTZ
ANTONIO CARLOS LOPEZ
ROBERT CALDER STACK

Nearby Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SANTA FE, NM
G. ALLEN FINANCIAL INC. · SANTA FE, NM
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SANTA FE, NM

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