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Karen Evans Miller

Wells Fargo Clearing Services, LLC

Minneapolis, MN

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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 2023-09-20
MN RA APPROVED 2013-11-08
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2023-09-20
  • MN RA
    APPROVED
    Since 2013-11-08
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

90 S 7Th St 10Th & 11Th Fls [Ge-Rbo], Minneapolis, MN 55402 • 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 Advisors Llc Minneapolis MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Minneapolis MN 11/2016 Present
Previous Registrations
  • 2004-07-27 → 2011-01-03
    Wells Fargo Investments, Llc
    Minneapolis, MN
    Minneapolis, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-08
S63 Uniform Securities Agent State Law Examination 1986-02-17
  • S65 Uniform Investment Adviser Law Examination
    1999-12-08
  • S63 Uniform Securities Agent State Law Examination
    1986-02-17
Other Names
  • Karen Ruth Evans

View on SEC IAPD

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