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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

AuthorityCategoryStatusDate
MO RA APPROVED 2022-09-15
TX RA APPROVED 2022-09-15
  • MO RA
    APPROVED
    Since 2022-09-15
  • TX RA
    APPROVED
    Since 2022-09-15

Branch Locations

14767 North Outer 40 Rd Fl 2, Chesterfield, MO 63017 • 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
Raymond James & Associates, Inc. Town And Country MO 02/2013 09/2022
Wells Fargo Clearing Services, Llc Chesterfield MO 09/2022 Present
Previous Registrations
  • 2013-02-13 → 2022-09-26
    St Louis, MO
    Town And Country, MO
    Town & Country, MO
  • 2009-05-05 → 2013-02-13
    Morgan Keegan & Company, Llc
    St. Louis, MO
    Town And Country, MO
Other Businesses

RENTAL PROPERTY; INV. RELATED; CHESTERFIELD, MO; 100% OWNERSHIP WITH SPOUSE; START DATE 5/2019; 5 HRS PER MONTH; 0 HRS DURING TRADING. RENTAL PROPERTY; INV. RELATED; CHESTERFIELD, MO; 100% OWNERSHIP WITH SPOUSE; START DATE 3/2021; 5 HRS PER MONTH; 0 HRS DURING TRADING. RENTAL PROPERTY; INV. RELATED; CAMDENTON, MO; 100% OWNERSHIP WITH SPOUSE; START DATE 3/2021; 5 HRS PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-04
S63 Uniform Securities Agent State Law Examination 1986-12-03
  • S66 Uniform Combined State Law Examination
    2009-05-04
  • S63 Uniform Securities Agent State Law Examination
    1986-12-03
Other Names
  • Chuck Hessler
  • Charles Albert Hessler

View on SEC IAPD

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