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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-10-12
GA RA APPROVED 2015-04-01
  • TX RA
    APPROVED_RES
    Since 2018-10-12
  • GA RA
    APPROVED
    Since 2015-04-01

Branch Locations

106 W Maple St [G1/G3-Rbo], Cumming, GA 30040 • United States

105 Shamrock Dr, Dublin, GA 31021 • United States

1125 Ga Highway 96, Kathleen, GA 31047 • United States

2714 Watson Blvd, Warner Robins, GA 31093 • United States

301 W Central Ave, Fitzgerald, GA 31750 • United States

434 Peterson Ave S, Douglas, GA 31533 • United States

150 Tom Hill Sr Blvd, Macon, GA 31210 • United States

6005 Zebulon Rd, Macon, GA 31210 • United States

219 S Harris St, Sandersville, GA 31082 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Atlanta GA 03/2015 11/2016
Wells Fargo Clearing Services, Llc Atlanta GA 11/2016 Present
Previous Registrations
Other Businesses

DEBORAH HIGHTOWER, INC.; NON-INVESTMENT RELATED; MACON GA; 100% OWNER, CREATIVE ARTS, INCLUDING WRITING, SPEAKING; PRESIDENT; AFFILIATION STARTED 07/16/2012; 20 HOURS PER MONTH/0 DURING TRADING, DUTIES:USE CREATIVE TALENTS TO INCLUDE WRITING, SPEAKING, MUSIC. AUTHOR; NON INV RELATED; MACON, GA; FLY, BEAUTIFUL. FLY! A GUIDED JOURNAL; START: 3/25/19; 5 HRS/MO; 0 DURING TRADING; DUTIES: WRITER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-30
S63 Uniform Securities Agent State Law Examination 1986-08-19
  • S65 Uniform Investment Adviser Law Examination
    2006-08-30
  • S63 Uniform Securities Agent State Law Examination
    1986-08-19
Other Names
  • Deborah Ann Fields
  • Deborah King
  • Deborah Hammett
  • Deborah K Fields
  • Deborah Ann K Fields
  • Deborah King Fields

View on SEC IAPD

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