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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-02-07 |
| TX | RA | APPROVED | 2025-02-07 |
Branch Locations
1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Century City | CA | 09/2015 | 01/2025 |
| Wells Fargo Clearing Services, Llc ( | Los Angeles | CA | 02/2025 | Present |
EMT STABLES LLC; INV RELATED; LOS ANGELES, CA; THOROUGHBRED HORSE MANAGEMENT; 100% OWNERSHIP; START DATE 03/03/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING | NROTC-USC DIVISION; NOT INV RELATED; LOS ANGELES, CA; TREASURER; 01/2011; 1 HOUR PER MONTH; 0 DURING TRADING; DEVELOPMENT OF UNDERGRADUATES IN NROTC PROGRAMS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-11-07 |
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