Best Investors Account Sign in
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
TX RA APPROVED 2024-03-15
AL RA APPROVED 2024-01-01
  • TX RA
    APPROVED
    Since 2024-03-15
  • AL RA
    APPROVED
    Since 2024-01-01

Branch Locations

2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States

Homewood, AL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Birmingham AL 07/2023 Present
University Of Alabama Tuscaloosa AL 08/2019 05/2023
Shelton State Community College Tuscaloosa AL 08/2017 05/2019
Hoover Highschool Hoover AL 07/2013 05/2017
  • 07/2023 → Present
    Birmingham, AL
  • 08/2019 → 05/2023
    University Of Alabama
    Tuscaloosa, AL
  • 08/2017 → 05/2019
    Shelton State Community College
    Tuscaloosa, AL
  • 07/2013 → 05/2017
    Hoover Highschool
    Hoover, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-28
  • S66 Uniform Combined State Law Examination
    2023-12-28

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Birmingham, AL

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor