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Kelly Elizabeth Bates

Wells Fargo Clearing Services, LLC

Minneapolis, MN

Sauk Rapids, 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 2023-07-10
  • MN RA
    APPROVED
    Since 2023-07-10

Branch Locations

90 S 7Th St Fl 10 [Mn- Rbo], Minneapolis, MN 55402 • United States

115 1St St S, Sauk Rapids, MN 56379 • 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 Sauk Rapids MN 08/2022 Present
Wells Fargo Bank, Na Sauk Rapids MN 10/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-10
S63 Uniform Securities Agent State Law Examination 2023-05-15
  • S65 Uniform Investment Adviser Law Examination
    2023-07-10
  • S63 Uniform Securities Agent State Law Examination
    2023-05-15
Other Names
  • Kelly Elizabeth Ludwil

View on SEC IAPD

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