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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 | 2024-06-26 |
| TX | RA | APPROVED_RES | 2010-01-21 |
| CT | RA | APPROVED | 2003-07-01 |
Branch Locations
83 Wooster Hts Ste 401 Lee Farm Corporate Park, Danbury, CT 06810 • United States
New York, NY • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Danbury | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Danbury | CT | 11/2016 | Present |
45 EAST 85TH STREET LLC; NOT INV. RELATED; NEW YORK, NY; CO-OP; BOARD MEMBER; START DATE 5/10/2015; 5 HRS PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-29 |
| S63 | Uniform Securities Agent State Law Examination | 1983-04-05 |
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