Anne Elizabeth Whelan

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-09-22
FL	RA	APPROVED	2000-10-01

TX RA
APPROVED_RES

Since 2020-09-22
FL RA
APPROVED

Since 2000-10-01

Branch Locations

101 Federal Pl, Tarpon Springs, FL 34689 • United States

100 S Ashley Dr 9Th Fl [F6-Rbo], Tampa, FL 33602 • United States

Clearwater, FL • United States

Disclosures

2 disclosure categories 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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Tampa	FL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Tampa	FL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Tampa, FL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Tampa, FL

Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; CLEARWATER, FL; OWNER; START DATE 1/2003; 0 HRS PER MONTH.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-07-01
S63	Uniform Securities Agent State Law Examination	1987-09-22

S65 Uniform Investment Adviser Law Examination

1997-07-01
S63 Uniform Securities Agent State Law Examination

1987-09-22

Other Names

Anne Elizabeth Varlese

View on SEC IAPD