Brian Keith Warden

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
TX	RA	APPROVED_RES	2026-04-06

TX RA
APPROVED_RES

Since 2026-04-06

Branch Locations

161 E Rivulon Blvd 2Nd Floor, Suite 201, Gilbert, AZ 85297 • 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

Organization	City	State	From	To
Wells Fargo Securities, Llc	Phoenix	AZ	12/2013	12/2025
Wells Fargo Clearing Services, Llc	Tempe	AZ	03/2026	Present

12/2013 → 12/2025

Wells Fargo Securities, Llc

Phoenix, AZ
03/2026 → Present

Wells Fargo Clearing Services, Llc

Tempe, AZ

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2006-07-17

S63 Uniform Securities Agent State Law Examination

2006-07-17

Other Names

Brian K Warden

View on SEC IAPD

Employer firm

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

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