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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
FL RA APPROVED 2022-03-29
  • FL RA
    APPROVED
    Since 2022-03-29

Branch Locations

333 Se 2Nd Ave, Miami, FL 33131 • United States

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

396 Alhambra Cir 8Th Fl, Coral Gables, FL 33134 • 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 Clearing Services Miami FL 06/2012 09/2020
Wells Fargo Clearing Services Miami FL 09/2020 Present
  • 06/2012 → 09/2020
    Wells Fargo Clearing Services
    Miami, FL
  • 09/2020 → Present
    Wells Fargo Clearing Services
    Miami, FL
Other Businesses

SANIITO US; NOT INV. RELATED; PALMETTO BAY,FL; 50% OWNERSHIP; START DATE 01/03/2022; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; IMPORT AND DISTRIBUTE VEGAN SNACKS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-30
  • S66 Uniform Combined State Law Examination
    2021-06-30
Other Names
  • Rodrigo Garcia

View on SEC IAPD

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