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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2024-11-15 |
| TX | RA | APPROVED_RES | 2024-11-01 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Randall Riley | Irvine | CA | 04/2015 | 05/2020 |
| Northwestern Mutual Investment Services, Llc | Irvine | CA | 04/2015 | 05/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2015 | 05/2020 |
| Ameriprise Financial Services, Llc | Bellevue | WA | 05/2020 | 10/2024 |
| Wells Fargo Clearing Services, Llc | Bellevue | WA | 10/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-26 |
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