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James Brendan Mccall

Wells Fargo Clearing Services, LLC

New York, NY

St. Louis, MO

CRD 5184737

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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
NY RA APPROVED 2021-07-23
NJ RA APPROVED 2020-12-22
  • NY RA
    APPROVED
    Since 2021-07-23
  • NJ RA
    APPROVED
    Since 2020-12-22

Branch Locations

150 E 42Nd St 41St & 42Nd Fls, New York, NY 10017 • United States

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103 • 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
Ubs Financial Services Inc. Weehawken NJ 02/2012 02/2020
Wells Fargo Clearing Services New York NY 05/2020 12/2020
Wells Fargo Clearing Services New York NY 12/2020 Present
  • 02/2012 → 02/2020
    Ubs Financial Services Inc.
    Weehawken, NJ
  • 05/2020 → 12/2020
    Wells Fargo Clearing Services
    New York, NY
  • 12/2020 → Present
    Wells Fargo Clearing Services
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-04-02
  • S66 Uniform Combined State Law Examination
    2015-04-02

View on SEC IAPD

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