Wells Fargo Clearing Services, Llc
St. Louis, Missouri
Wells Fargo Clearing Services, LLC is a leading national investment advisory firm headquartered in St. Louis, MO. With a team of 20,587 dedicated professionals, including 8,496 investment advisors, they offer a comprehensive range of financial services.
As an industry leader, Wells Fargo Clearing Services manages a substantial amount of assets, boasting over $524.9 billion in assets under management from their vast client base of more than 806,320 individuals. They excel in providing investment advisory services, with an impressive average of approximately $7.72 million in assets under management per investment advisor.
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Assets Under Mgmt
$524.94B
Investment Professionals
8496
Locations
5448
% 401K & Individual
% Discretionary
Compensation Structure
A percentage of assets under your management
Hourly Charges
Fixed Fees
Commissions
Services Provided Section
Financial Planning Services
Portfolio management for individuals and/or small businesses
Portfolio management for businesses or institutional clients
Pension consulting services
Selection of other advisers
Other: INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS
Other Business Activities
Broker-dealer (Registered or unregistered)
Other Financial product salesperson
Disclosures
Do any of the events below involve you or any of your supervised persons?
Convicted or guilty of a felony (10 yrs)
Charged with a felony (10 yrs)
Convicted or pled guilty to misdemeanor involving investments (10 yrs)
Convicted or pled guilty to misdemeanor involving investments (10 yrs)
SEC or CFTC found with a false statement or omission
SEC or CFTC violation of regulation or statutes
SEC or CFTC entered an order against you in connection to investment related activities
SEC or CFTC imposed civil money penalty or cease and desist from an activity
Found to have made false statement, ommision, unfair or Unethical by federal regulatory agency
Found to have been involved in a violation of investment regulations or statutes by Federal regulatory agency
Found to have caused investement-related business to lose authorization denied by federal regulatory agency
Orders brought against in connection to investment related activities (10yrs)
Had investment related business activity restricted by federal regulatory agency
Self-regulatory organization found you made a false statement or omission
Found to have been involved in a violation of self-regulatory organizations rules
Disciplined by self-regulatory organization or commodities exchange
Attorney, accountant, or federal contractor privileges been revoked or suspended
Currently the subject of any regulatory proceeedings previously talked about
Enjoined by domestic or foreign court in connect with investment-related activities (10 years)
Found to be involved in a violation of investment-related activities by domestic or foreign court
Civil action by state or foreign financial regulatory authority dismissed by domestic or foreign court
Now the subject of a civil proceeding involving previous disclosures
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