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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-17 |
| CA | RA | APPROVED | 2021-04-16 |
Branch Locations
555 California St 24Th Fl, San Francisco, CA 94104 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 01/2013 | 04/2021 |
| Bank Of America, N.A. | San Francisco | CA | 02/2013 | 04/2021 |
| Wells Fargo Clearing Services, Llc. | San Francisco | CA | 04/2021 | Present |
NOB HILL ASSOCIATION, NOT INV RELATED, SAN FRANCISCO, CA, BOARD MEMBER, START 11/30/2018, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, REVIEWING ISSUES BEFORE THE ASSOCIATION, VOTING ON FUNDING AND EVENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 1986-05-06 |
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