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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 | 2014-03-27 |
Branch Locations
401 S Tryon St 7Th Floor, Charlotte, NC 28202 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Charlotte | NC | 02/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | Present |
POWER OF ATTORNEY FOR MOTHER; INV. RELATED; HUNTERSVILLE, NC; START DATE 8/2022; 4 HRS PER MONTH; 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-19 |
| S65 | Uniform Investment Adviser Law Examination | 1997-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-19 |
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