Richard Clyde Hastings

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

Authority	Category	Status	Date
TN	RA	APPROVED	2012-10-26
MS	RA	APPROVED	2012-08-23
TX	RA	APPROVED	2012-08-23

TN RA
APPROVED

Since 2012-10-26
MS RA
APPROVED

Since 2012-08-23
TX RA
APPROVED

Since 2012-08-23

Branch Locations

499 Gloster Creek Vlg Ste F6A, Tupelo, MS 38801 • United States

265 N Lamar Blvd Ste K Bldg 2 Oxford Square North, Oxford, MS 38655 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors	Memphis	TN	08/2012	11/2016
Wells Fargo Clearing Services, Llc	Memphis	TN	11/2016	Present

08/2012 → 11/2016

Wells Fargo Advisors

Memphis, TN
11/2016 → Present

Wells Fargo Clearing Services, Llc

Memphis, TN

Previous Registrations

1993-06-21 → 2012-08-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tupelo, MS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-15
S63	Uniform Securities Agent State Law Examination	1985-11-07

S65 Uniform Investment Adviser Law Examination

1995-02-15
S63 Uniform Securities Agent State Law Examination

1985-11-07

Other Names

Richard Clyde Hastings

View on SEC IAPD