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Kerrie Ann Kane

Wells Fargo Clearing Services, LLC

Scottsdale, AZ

Scottsdale, AZ

CRD 719001

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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
TX RA APPROVED_RES 2016-09-28
AZ RA APPROVED 2008-11-05
  • TX RA
    APPROVED_RES
    Since 2016-09-28
  • AZ RA
    APPROVED
    Since 2008-11-05

Branch Locations

8601 N Scottsdale Rd Ste 150 [Support Center], Scottsdale, AZ 85253 • United States

8601 N Scottsdale Rd Ste 150 [Tl-Rbo], Scottsdale, AZ 85253 • 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 Scottsdale AZ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Scottsdale AZ 11/2016 Present
Other Businesses

AZ DEPARTMENT OF REAL ESTATE, NOT INV RELATED, INACTIVE LICENSE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-04
  • S66 Uniform Combined State Law Examination
    2008-11-04
Other Names
  • Kerrie A Kane
  • Kerrie Ann Kane
  • Kerrie A Kane-Drakides

View on SEC IAPD

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