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Mary Diane S Bell

Wells Fargo Clearing Services, LLC

Louisville, KY

CRD 2979691

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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
KY RA APPROVED 2010-09-30
TX RA APPROVED_RES 2010-09-20
  • KY RA
    APPROVED
    Since 2010-09-30
  • TX RA
    APPROVED_RES
    Since 2010-09-20

Branch Locations

297 N Hubbards Ln 2Nd & 3Rd Fl, Louisville, KY 40207 • 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
Wells Fargo Advisors Llc Louisville KY 09/2010 11/2016
Wells Fargo Clearing Services, Llc Louisville KY 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-28
S63 Uniform Securities Agent State Law Examination 1998-07-01
  • S65 Uniform Investment Adviser Law Examination
    1999-12-28
  • S63 Uniform Securities Agent State Law Examination
    1998-07-01
Other Names
  • Diane Salsman Bell
  • Mary Bell
  • Diane Salsman Bell
  • Diane S Bell

View on SEC IAPD

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