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Anne Elizabeth Whelan

Wells Fargo Clearing Services, LLC

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About Anne Elizabeth Whelan

Anne Elizabeth Whelan is a registered representative with Wells Fargo Clearing Services, LLC. Anne has been working in the financial industry since 1985. Anne holds licenses in Florida and Texas, and is also registered with the Financial Industry Regulatory Authority (FINRA). Anne has worked for several firms during her career, including First Union Brokerage Services, Inc., Key Investments Inc., Zions Investment Securities, Inc., Marketing One Securities, Inc., Prudential Securities Incorporated, PaineWebber Incorporated, Dean Witter Reynolds Inc., Securities Settlement Corporation, Smith Barney, Harris Upham & Co., Incorporated, and Individual's Securities Ltd.

Firm Information

Anne Whelan is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Anne Whelan’s Registration & Firm History

FL

09/22/2020 - Present

Wells Fargo Clearing Services, LLC (TARPON SPRINGS FL)

NC

05/03/1996 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

OH

11/13/1995 - 04/09/1996

KEY INVESTMENTS INC. (CLEVELAND OH)

UT

09/13/1995 - 11/28/1995

ZIONS INVESTMENT SECURITIES, INC. (SALT LAKE CITY UT)

OR

04/12/1994 - 07/27/1994

MARKETING ONE SECURITIES, INC. (PORTLAND OR)

NY

03/11/1991 - 04/08/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

09/15/1987 - 03/13/1991

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

12/09/1986 - 07/11/1987

DEAN WITTER REYNOLDS INC.

NA

05/23/1986 - 07/17/1986

SECURITIES SETTLEMENT CORPORATION

NA

12/03/1983 - 04/25/1986

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

NA

08/24/1983 - 10/19/1983

INDIVIDUAL'S SECURITIES LTD.

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Licenses & Designations

IA

Issued 07/01/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/22/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/20/1983

Series 7 - General Securities Representative Examination

BC

Issued 05/05/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Anne Elizabeth Whelan. Review regulatory record here.
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