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Deborah Kathleen Viccone-Simon

Wells Fargo Clearing Services, LLC

Chicago, IL

CRD 708045

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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
IL RA APPROVED 2010-08-30
TX RA APPROVED 2010-08-30
  • IL RA
    APPROVED
    Since 2010-08-30
  • TX RA
    APPROVED
    Since 2010-08-30

Branch Locations

30 S Wacker Dr 39Th & 40Th Fls, Chicago, IL 60606 • 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 Chicago IL 08/2010 11/2016
Wells Fargo Clearing Services, Llc Chicago IL 11/2016 Present
Previous Registrations
Other Businesses

TRUSTEE OF MOTHER'S TRUST; INV. RELATED; SPRINGFIELD, IL; START DATE 8/2020; 1 HR PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-07
S63 Uniform Securities Agent State Law Examination 1981-06-01
  • S65 Uniform Investment Adviser Law Examination
    1992-07-07
  • S63 Uniform Securities Agent State Law Examination
    1981-06-01
Designations
  • Certified Financial Planner
Other Names
  • Deborah Kathleen Viccone
  • Deborah Kathleen Viccone
  • Deborah Kathleen Vicconesimon

View on SEC IAPD

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Nearby Investors

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HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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