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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
GA RA APPROVED 2015-09-09
  • GA RA
    APPROVED
    Since 2015-09-09

Branch Locations

106 W Maple St [G1/G3-Rbo], Cumming, GA 30040 • United States

1413 Riverstone Pkwy, Canton, GA 30114 • 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. Canton GA 06/2015 11/2016
Wells Fargo Bank Na Canton GA 09/2013 Present
Wells Fargo Clearing Services, Llc Canton GA 11/2016 Present
  • 06/2015 → 11/2016
    Wells Fargo Advisors, Llc.
    Canton, GA
  • 09/2013 → Present
    Wells Fargo Bank Na
    Canton, GA
  • 11/2016 → Present
    Canton, GA
Other Businesses

CAMP RENTAL LLC; INV RELATED; ELLIJAY, GA; 100% OWNED BY SPOUSE, BUSINESS SIGNER; RENTAL PROPERTY; START 3/2020; 2 HRS PER MONTH; 01 HRS DURING TRAINING; DUTIES: RUN ERRANDS AND ASSIST WITH BUSINESS TRANSACTIONS. DAISY MAE'S BOUTIQUE LLC ; INV RELATED; ELLIJAY ,GA; RETAIL BOUTIQUE;100% OWNERSHIP; START DATE: 01/01/2026; 20 HRS PER MONTH; 0 HRS DURING TRADING; KRISTINA LEE'S BOUTIQUE LLC ; INV RELATED;ELLIJAY ,GA; RETAIL BOUTIQUE ;100% OWNERSHIP; START DATE: 02/06/2026; 20 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-09-02
S63 Uniform Securities Agent State Law Examination 2015-08-11
  • S65 Uniform Investment Adviser Law Examination
    2015-09-02
  • S63 Uniform Securities Agent State Law Examination
    2015-08-11
Other Names
  • Daisy Mendoza Ceja
  • Daisy Aguillon
  • Daisy Ceja Aguillon

View on SEC IAPD

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