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Sean Carlstrom Terminated by Wells Fargo Clearing Services

Sean Carlstrom (CRD #: 7003571) has been fired by Wells Fargo Clearing Services. This disclosure appears on his BrokerCheck record, accessed on June 6, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On April 9, 2024, Wells Fargo Clearing Services fired Sean Carlstrom following allegations that he altered a client document, failed to code an account as deceased promptly, and used non-firm-approved communications technology to conduct business. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Altering client documents and using non-approved communication channels may violate this rule. 

Background Information 

Sean Carlstrom has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 

During his four years of experience, he has registered with two firms: Wells Fargo Clearing Services Clearing Services (CRD #: 19616) and Hornor Townsend & Kent (CRD #: 4031).  

Kurta Law Can Help 

If you have worked with Sean Carlstrom and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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