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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2019-04-29 |
| TX | RA | APPROVED_RES | 2019-04-26 |
Branch Locations
1675 N Military Trail Ste 500, Boca Raton, FL 33486 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Boca Raton | FL | 06/2009 | 04/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 04/2019 |
| Wells Fargo Clearing Services, Llc | Boca Raton | FL | 04/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-01 |
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