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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-10-27 |
| CA | RA | APPROVED | 2010-03-18 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
Laguna Niguel, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Newport Beach | CA | 02/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | Present |
SALE OF ORIGINAL MUSIC, NOT INV RELATED, LAGUNA NIGUEL, CA, 100% OWNER, START: 3/11/2014, 10 HOURS PER MONTH/0 DURING TRADING, SELL MUSIC. MUSICIAN, NOT INV RELATED, LAGUNA BEACH, CA, START 7/12/2018, 1 HOUR PER MONTH, ZERO DURING TRADING, MUSICAL PERFORMANCE. | EXECUTOR OF COUSIN'S ESTATE; INVESTMENT RELATED; NEWPORT BEACH; EXECUTOR; 04/01/2025; 1 HOUR PER MONTH; NO HOURS DURING TRADING HOURS; SUCESSOR TRUSTEE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 1983-01-05 |
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