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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-04-07 |
| TX | RA | APPROVED_RES | 2022-04-05 |
Branch Locations
18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Barrington | IL | 04/2009 | 04/2022 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 04/2022 | Present |
ADMINISTRATOR FOR SISTER'S ESTATE; INV. RELATED; SCOTTSDALE, AZ; START DATE 5/2022.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1983-08-05 |
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