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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
AZ RA APPROVED 2026-03-23
WY RA APPROVED 2024-02-21
TX RA APPROVED 2003-07-01
  • AZ RA
    APPROVED
    Since 2026-03-23
  • WY RA
    APPROVED
    Since 2024-02-21
  • TX RA
    APPROVED
    Since 2003-07-01

Branch Locations

Scottsdale, AZ • United States

18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • United States

Rock River, WY • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Scottsdale AZ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Scottsdale AZ 11/2016 Present
Previous Registrations
  • 2003-06-25 → 2003-07-01
    Prudential Equity Group, Llc
    Scottsdale, AZ
Other Businesses

RENTAL PROPERTY; NON INVESTMENT RELATED; SCOTTSDALE, AZ; 100% OWNERSHIP; 0 HRS PER MONTH 0 DURING TRADING; MANAGE PROPERTY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-06-21
S63 Uniform Securities Agent State Law Examination 1985-02-01
  • S65 Uniform Investment Adviser Law Examination
    2003-06-21
  • S63 Uniform Securities Agent State Law Examination
    1985-02-01
Other Names
  • Linda Karen Neff
  • Linda Karen Hall
  • Karen Charvonia

View on SEC IAPD

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