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Detailed Report
HOLLY L ESAU
HOLLY L. CLORFELTER, HOLLY L CLOTFELTER, HOLLY L. CLOTFELTER, HOLLY L SHINER
CRD#: 4589458
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 300 S MAIN
WICHITA, KS 67202
Registration History
20122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2014 - Present (10 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2011 - Present (13 years)
License(s)

State Registrations

B
Alabama 8/15/2024
B
Nevada 12/4/2020
B
Arizona 6/30/2014
B
New Jersey 1/10/2020
B
Arkansas 6/30/2014
B
New Mexico 12/4/2020
B
California 6/30/2014
B
New York 3/21/2022
B
Colorado 6/30/2014
B
North Carolina 7/1/2014
B
District of Columbia 6/14/2023
B
Ohio 1/12/2020
B
Florida 6/30/2014
B
Oklahoma 6/30/2014
B
Idaho 1/10/2020
B
Oregon 6/30/2014
B
Illinois 10/2/2018
B
Pennsylvania 1/10/2020
B
Kansas 6/26/2014
B
South Carolina 1/10/2020
IA
Kansas 6/26/2014
B
South Dakota 4/6/2020
B
Kentucky 1/7/2021
B
Tennessee 12/4/2020
B
Maryland 7/21/2016
B
Texas 6/30/2014
B
Minnesota 1/10/2020
IA
Texas 6/30/2014
B
Mississippi 12/4/2020
B
Utah 4/21/2020
B
Missouri 6/30/2014
B
Washington 2/20/2020
B
Montana 12/4/2020
B
Wisconsin 12/4/2020
B
Nebraska 10/18/2017

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
300 S MAIN, WICHITA, KS 67202
Registered with this firm since 6/26/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
300 S MAIN, WICHITA, KS 67202
Registered with this firm since 12/23/2011
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.