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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2022-02-01 |
Branch Locations
767 5Th Ave 33Rd Fl [Y2-Rbo], New York, NY 10153 • 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 |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | New York | NY | 10/2010 | 02/2022 |
| J.P. Morgan Securities Llc | New York | NY | 10/2008 | 02/2022 |
| Hofstra University | Hempstead | NY | 09/2014 | Present |
| Wells Fargo Clearing Services, Llc | New York | NY | 02/2022 | Present |
HOFSTRA UNIVERSITY; INV. RELATED; HEMPSTEAD,NY; ADJUNCT PROFESSOR; START DATE 09/01/1998; NUMBER OF HOURS PER MONTH 12; NUMBER OF HOURS DURING TRADING 0; TEACHING VENTURE CAPITALISM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1982-03-31 |
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