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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-12 |
| TX | RA | APPROVED | 2023-10-11 |
Branch Locations
1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2016 | 09/2017 |
| Northwestern Mutual Investment Services Llc | Los Angeles | CA | 01/2017 | 09/2017 |
| Pruco Securities Llc | Sherman Oaks | CA | 10/2017 | 09/2018 |
| The Prudential Insurance Company Of America | Sherman Oaks | CA | 10/2017 | 09/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beverly Hills | CA | 09/2018 | 10/2023 |
| Bank Of America N.A. | Beverly Hills | CA | 11/2018 | 10/2023 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-13 |
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