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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-01-19 |
| TX | RA | APPROVED | 2023-10-09 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 04/2022 | Present |
| Sharon Presbyterian Weekday School | Charlotte | NC | 05/2018 | 04/2022 |
| Charlotte Country Day School | Charlotte | NC | 08/2017 | 05/2018 |
| Sharon Presbyterian Weekday School | Charlotte | NC | 08/2008 | 07/2017 |
Academy Travel - Independent Travel Consultant. This business is not investment related and I help people plan Disney related travel. I am an independent contractor and started with the company 9 years ago. I work approximately 3 hours a week on the weekends. I do not do any work during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 2023-05-13 |
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