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Wayne Cary Ballinger

Wells Fargo Clearing Services, LLC

Scottsdale, AZ

Crown King, AZ

CRD 1596074

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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
AZ RA APPROVED 2011-09-01
  • AZ RA
    APPROVED
    Since 2011-09-01

Branch Locations

18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • United States

Crown King, AZ • 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 Scottsdale AZ 08/2011 11/2016
Wells Fargo Clearing Services, Llc Scottsdale AZ 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-10
S63 Uniform Securities Agent State Law Examination 1986-12-19
  • S65 Uniform Investment Adviser Law Examination
    1993-06-10
  • S63 Uniform Securities Agent State Law Examination
    1986-12-19
Other Names
  • Wayne Ballinger

View on SEC IAPD

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SHAUN ELIZABETH BRACKEN
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Nearby Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ

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