Monica L Dawes

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2010 → 01/2018
  Ameriprise Financial Services, Inc.
  Flint, MI
• 01/2018 → 07/2025
  Stifel Nicolaus & Co Inc
  Flint, MI
• 07/2025 → Present
  Wells Fargo Clearing Services, Llc
  East Lansing, MI

Previous Registrations

• 2018-01-17 → 2025-06-18
  Stifel, Nicolaus & Company, Incorporated
  Flint, MI
• 2018-01-05 → 2018-01-22
  Ameriprise Financial Services, Llc
  Grand Blanc, MI
  Grand Rapids, MI
  Grand Blanc, MI

Other Businesses

1. National Notary Association;109 Spring Meadows Ln, Dewitt, MI 48820;Notary Public; Notarize documents;9/12/19;1 hr/mo; During securities trading hours; Investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-03-25
• S63 Uniform Securities Agent State Law Examination
  2006-02-24

Other Names

• Monica Lynn Mayhew
• Monica Lynn Veit
• Monica L Veit
• Monica L Dawes
• Monica Dawes