Stephen T Foody

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
FL	RA	APPROVED	2021-04-09
TX	RA	APPROVED	2021-04-08

FL RA
APPROVED

Since 2021-04-09
TX RA
APPROVED

Since 2021-04-08

Branch Locations

818 Us Highway A1A N Stes 200 & 206, Ponte Vedra Beach, FL 32082 • United States

Disclosures

2 disclosure categories 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Bank Of America, N.A.	Ponte Vedra Beach	FL	07/2011	04/2021
Wells Fargo Clearing Services, Llc.	Ponte Verde	FL	04/2021	Present

07/2011 → 04/2021

Bank Of America, N.A.

Ponte Vedra Beach, FL
04/2021 → Present

Wells Fargo Clearing Services, Llc.

Ponte Verde, FL

Previous Registrations

2008-10-29 → 2021-04-09

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ponte Vedra Beach, FL
2000-10-01 → 2008-10-20

Wells Fargo Clearing Services, Llc

Ponte Vedra Beach, FL

Jacksonville, FL

Jacksonville, FL

Jacksonville, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-06-23
S63	Uniform Securities Agent State Law Examination	1985-03-29

S65 Uniform Investment Adviser Law Examination

1995-06-23
S63 Uniform Securities Agent State Law Examination

1985-03-29

Other Names

Stephen Thomas Foody

View on SEC IAPD