WELLS FARGO CLEARING SERVICES, LLC
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WELLS FARGO CLEARING SERVICES, LLC
(CRD# 19616)
is an SEC-Registered Investment Advisor (RIA), headquartered in
St. Louis, MO.
The SEC approved the firm to operate as an RIA in
Oct 1990.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$433.2 Billion,
with discretion over
66%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
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WELLS FARGO CLEARING SERVICES, LLC
also reported in
Mar 2019
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26352
employees,
with
11574
performing advisory functions.
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A total of 6406 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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WELLS FARGO CLEARING SERVICES, LLC has one or more disclosure events currently on file with the SEC.
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WELLS FARGO CLEARING SERVICES, LLC has Notice Filings with the following State Securities Authorities:
AK-Jun 1991, AL-Jan 1992, AR-May 1991, AZ-Mar 2002, CA-Jul 1997
, CO-Feb 1999, CT-Mar 1998, DC-Jan 1996, DE-Jul 2003, FL-Nov 1994
, GA-Jan 1992, HI-Jul 1991, IA-Mar 1999, ID-Jun 1992, IL-May 1999
, IN-Oct 2000, KS-Dec 1997, KY-Mar 2002, LA-Oct 2001, MD-Mar 1992
, ME-Aug 1993, MI-Mar 2002, MN-Apr 1991, MO-Apr 1991, MS-May 1998
, MT-Dec 1997, NC-Oct 2000, ND-Mar 2002, NE-Apr 1998, NH-Jan 1993
, NJ-Dec 1992, NM-Jan 1996, NV-Aug 1994, NY-Jan 1993, OH-Apr 2001
, OK-Apr 2001, OR-Mar 2002, PA-Mar 2002, PR-Aug 2002, RI-Oct 1998
, SC-Oct 2000, SD-Dec 1992, TN-Oct 1997, TX-Nov 1989, UT-Apr 1991
, VA-Aug 1992, VI-Jun 2005, VT-Mar 2002, WA-Dec 1991, WI-May 1991
, WV-Jan 1993, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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