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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-11-06 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
401 S. Tryon Street, Charlotte, NC 28202 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Charlotte | NC | 02/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 06/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 07/2018 | 02/2019 |
| Carolinas Investment Consulting Llc | Charlotte | NC | 06/2019 | 10/2019 |
| Carolinas Wealth Consulting Llc | Charlotte | NC | 06/2019 | 10/2019 |
| Stayed At Home/ Did One Temporary Job, Non Invest. Related | Charlotte | NC | 03/2019 | 05/2019 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 10/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-10-30 |
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