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Caroline Anne Manning

Wells Fargo Clearing Services, LLC

Jacksonville, FL

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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 2012-03-28
FL RA APPROVED 2012-03-26
  • TX RA
    APPROVED
    Since 2012-03-28
  • FL RA
    APPROVED
    Since 2012-03-26

Branch Locations

1 Independent Dr 20Th Fl [Support Center], Jacksonville, FL 32202 • 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 Jacksonville FL 03/2012 11/2016
Wells Fargo Clearing Services, Llc Jacksonville FL 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2012-03-28
    Morgan Stanley
    Jacksonville, FL
  • 2009-04-14 → 2009-06-01
    Morgan Stanley & Co. Llc
    Jacksonville, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-04-13
S63 Uniform Securities Agent State Law Examination 1987-11-11
  • S65 Uniform Investment Adviser Law Examination
    2009-04-13
  • S63 Uniform Securities Agent State Law Examination
    1987-11-11
Other Names
  • Carrie Manning
  • Caroline Anne Manning
  • Caroline Anne Manning
  • Caroline Anne Manning
  • Caroline Anne Manning
  • Caroline Ann Manning

View on SEC IAPD

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