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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
CA RA APPROVED 2024-04-10
  • CA RA
    APPROVED
    Since 2024-04-10

Branch Locations

Burbank, CA • United States

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103 • UNITED STATES

225 S. Lake Ave Ste 700, Pasadena, CA 91101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mutual Securities, Inc. Camarillo CA 12/2015 09/2016
Wells Fargo Clearing Services, Llc Pasadena CA 11/2016 10/2020
Wells Fargo Clearing Services, Llc Pasadena CA 04/2024 Present
Wells Fargo Advisors Llc Pasadena CA 10/2016 11/2016
Wells Fargo Advisors Financial Network, Llc Long Beach CA 10/2020 04/2024
Previous Registrations
  • 2020-10-14 → 2024-01-04
    Reno, NV
    Irvine, CA
    Beverly Hills, CA
    La Jolla, CA
    Henderson, NV
    Newport Beach, CA
    Long Beach, CA
    Visalia, CA
    Zephyr Cove, NV
    Aiken, SC
    Incline Village, NV
    Walnut Creek, CA
    Livermore, CA
    San Francisco, CA
    Bend, OR
    Sacramento, CA
    San Mateo, CA
    San Francisco, CA
    El Segundo, CA
    Pacific Palisades, CA
    Yorba Linda, CA
    La Jolla, CA
    El Segundo, CA
    Lancaster, CA
    San Francisco, CA
  • 2019-05-15 → 2020-10-14
    Pasadena, CA
    St. Louis, MO
    Pasadena, CA
Other Businesses

BOOKKEEPERPAL, LLC, NOT INV RELATED, BURBANK, CA, 100% OWNERSHIP, START DATE 7/27/2024, 50 HRS PER MONTH, 0 HRS DURING TRADING, BOOKKEEPING SERVICES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-05-15
S63 Uniform Securities Agent State Law Examination 1997-12-23
  • S65 Uniform Investment Adviser Law Examination
    2019-05-15
  • S63 Uniform Securities Agent State Law Examination
    1997-12-23
Other Names
  • Ani Ordookhanian
  • Ani Mamos

View on SEC IAPD

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