Best Investors Account Sign in

Kevin John Kavanagh

Wells Fargo Clearing Services, LLC

Hunt Valley, MD

Cockeysville, MD

CRD 834112

Claim This Profile
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 2015-04-02
MD RA APPROVED 2009-02-13
  • TX RA
    APPROVED_RES
    Since 2015-04-02
  • MD RA
    APPROVED
    Since 2009-02-13

Branch Locations

230 Schilling Cir Ste 300, Hunt Valley, MD 21031 • United States

Cockeysville, MD • 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 Hunt Valley MD 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hunt Valley MD 11/2016 Present
Previous Registrations
  • 2006-02-21 → 2009-03-09
    Citigroup Global Markets Inc.
    Hunt Valley, MD
    New York, NY
    Hunt Valley, MD
  • 2004-05-13 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Hunt Valley, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-12
S63 Uniform Securities Agent State Law Examination 1990-01-15
  • S65 Uniform Investment Adviser Law Examination
    2004-05-12
  • S63 Uniform Securities Agent State Law Examination
    1990-01-15
Other Names
  • Kevin John Kavanagh

View on SEC IAPD

Nearby Firms

BAY HARBOR WEALTH MANAGEMENT, LLC
ABS CAPITAL PARTNERS, INC.
GROFF WEALTH MANAGEMENT

Nearby Investors

Andrew Benjamin Anthony
LANCE REID SCOTT
JOHN FRANCIS MORAN

Nearby Offices

BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD
ABS CAPITAL PARTNERS, INC. · HUNT VALLEY, MD
GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD

More in Hunt Valley, MD

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor