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Norman Alexander Cotteleer

Wells Fargo Clearing Services, LLC

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About Norman Alexander Cotteleer

Norman Alexander Cotteleer is an active advisor registered with Wells Fargo Clearing Services, LLC. Norman is a registered representative with both a Series 7 and Series 63 license. Norman also holds Series 24, Series 31, and SIE licenses, as well as the Series 65 license. Norman has been working in the financial services industry for over 30 years. Norman was previously registered with Ameriprise Financial Services, LLC, LPL Financial LLC, Janney Montgomery Scott LLC, Dean Witter Reynolds Inc., and G. K. Scott & Co., Inc.. Norman is registered to provide securities and investment advisory services in 28 states.

Firm Information

Norman Cotteleer 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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Norman Cotteleer’s Registration & Firm History

MA

01/10/2022 - Present

Wells Fargo Clearing Services, LLC (HOLYOKE MA)

CT

12/08/2015 - 01/12/2022

AMERIPRISE FINANCIAL SERVICES, LLC (HARTFORD CT)

CT

06/14/2001 - 12/18/2015

LPL FINANCIAL LLC (SIMSBURY CT)

PA

12/21/1999 - 07/16/2001

JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)

NY

04/05/1991 - 02/15/2000

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NY

12/07/1990 - 02/05/1991

G. K. SCOTT & CO., INC. (PLAINVIEW NY)

NA

07/30/1990 - 11/28/1990

J. W. GANT & ASSOCIATES, INC.

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Licenses & Designations

IA

Issued 04/19/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/08/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/19/2001

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/11/1996

Series 31 - Futures Managed Funds Examination

BC

Issued 07/28/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Norman Alexander Cotteleer. Review regulatory record here.
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