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Dana Lee Borgschatz

Wells Fargo Clearing Services, LLC

Red Wing, MN

Minneapolis, MN

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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
MN RA APPROVED 2023-01-26
  • MN RA
    APPROVED
    Since 2023-01-26

Branch Locations

401 Plum St, Red Wing, MN 55066 • United States

90 S 7Th St 10Th & 11Th Fls [Gj-Rbo], Minneapolis, MN 55402 • 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 Red Wing MN 04/2022 Present
Wells Fargo Bank, Na Red Wing MN 10/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-12-27
S63 Uniform Securities Agent State Law Examination 2022-12-01
  • S65 Uniform Investment Adviser Law Examination
    2022-12-27
  • S63 Uniform Securities Agent State Law Examination
    2022-12-01

View on SEC IAPD

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AEGIS INVESTMENT MANAGEMENT, LLC · RED WING, MN
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