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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-25 |
| NY | RA | APPROVED | 2021-07-27 |
| NJ | RA | APPROVED | 2016-07-01 |
| TX | RA | APPROVED_RES | 2016-06-30 |
Branch Locations
280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc. | New York | NY | 06/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | Present |
TRUSTEE FOR NEPHEW, INV RELATED, DARIEN, CT, START DATE: 10/22/2018, 2 HRS/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR NIECE, INV RELATED, DARIEN, CT, START DATE: 10/29/2018, 2 HRS/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR NEPHEW, INV RELATED, DARIEN, CT, START DATE: 10/29/2018, 2 HRS/MONTH, 0 HRS DURING TRADING.; DHC FAMILY INVESTMENTS LLC, INV RELATED, PALM BEACH, FL, CLASS A MEMBER/TRUSTEE, 0% OWNERSHIP, 1 HR/MONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-29 |
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