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Chloe Lauha Ott

Wells Fargo Clearing Services, LLC

Chicago, IL

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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
IL RA APPROVED 2026-04-16
TX RA APPROVED 2026-04-16
  • IL RA
    APPROVED
    Since 2026-04-16
  • TX RA
    APPROVED
    Since 2026-04-16

Branch Locations

30 S Wacker Dr 39Th & 40Th Fls, Chicago, IL 60606 • 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
Marcus & Millichap Chicago IL 02/2016 10/2016
Wayne Hummer Investments Chicago IL 10/2016 09/2020
Morgan Stanley Smith Barney Llc Chicago IL 09/2020 04/2026
Morgan Stanley Private Bank, N.A New York NY 10/2020 04/2026
Wells Fargo Clearing Services, Llc Chicago IL 04/2026 Present
Morgan Stanley Private Bank, N.A New York NY 10/2020 Present
  • 02/2016 → 10/2016
    Marcus & Millichap
    Chicago, IL
  • 10/2016 → 09/2020
    Wayne Hummer Investments
    Chicago, IL
  • 09/2020 → 04/2026
    Morgan Stanley Smith Barney Llc
    Chicago, IL
  • 10/2020 → 04/2026
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 04/2026 → Present
    Wells Fargo Clearing Services, Llc
    Chicago, IL
  • 10/2020 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2020-09-04 → 2026-04-22
    Morgan Stanley
    Chicago, IL
    Chicago, IL
  • 2019-11-19 → 2020-09-11
    Wintrust Investments Llc
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-10-11
S63 Uniform Securities Agent State Law Examination 2019-04-03
  • S65 Uniform Investment Adviser Law Examination
    2019-10-11
  • S63 Uniform Securities Agent State Law Examination
    2019-04-03

View on SEC IAPD

Other Firms

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PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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