Best Investors Account Sign in
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
FL RA APPROVED 2019-02-12
MO RA APPROVED 2003-07-01
TX RA APPROVED_RES 2003-07-01
  • FL RA
    APPROVED
    Since 2019-02-12
  • MO RA
    APPROVED
    Since 2003-07-01
  • TX RA
    APPROVED_RES
    Since 2003-07-01

Branch Locations

2989 Pga Blvd, Palm Beach Gardens, FL 33410 • United States

10369 Clayton Rd, Frontenac, MO 63131 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Chesterfield MO 05/2009 11/2016
Wells Fargo Clearing Services, Llc Chesterfield MO 11/2016 Present
Previous Registrations
  • 1994-05-23 → 2003-07-01
    Prudential Equity Group, Llc
    Chesterfield, MO
Other Businesses

1)SALCO INVESTMENTS LLC, INV RELATED, CHESTERFIELD, MO, 100% OWNERSHIP, START 12/14/2009, 1 HOUR PER MONTH, 0 HOURs DURING TRADING, MANAGE RENTAL PROPERTIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-02
S63 Uniform Securities Agent State Law Examination 1987-05-13
  • S65 Uniform Investment Adviser Law Examination
    1994-08-02
  • S63 Uniform Securities Agent State Law Examination
    1987-05-13
Designations
  • Certified Financial Planner
Other Names
  • Rick Salus

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Palm Beach Gardens, FL

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor