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Wells Fargo Advisors Financial Network, LLC CRD 11025
$252B regulatory AUM 2,990 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-07 |
| HI | RA | APPROVED | 2023-09-07 |
| TX | RA | APPROVED | 2023-09-07 |
Branch Locations
500 Silver Spur 105, Rolling Hills Estates, CA 90275 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Torrance | CA | 10/2009 | 02/2017 |
| Wells Fargo Clearing Services, Llc | Palos Verdes | CA | 02/2017 | 09/2023 |
| Wells Fargo Advisors Financial Network, Llc | Rolling Hills Estates | CA | 09/2023 | Present |
STATE OF CA IN HOME SUPPORT SERVICES, NOT INV RELATED, ROLLING HILLS, CA, START 05/01/2008, 283 HOURS PER MONTH, ZERO DURING TRADING, CAREGIVER TO CHILD. RENTAL PROPERTY, INV RELATED, SIMI VALLEY, CA, 100% OWNERSHIP, START 9/11/23, 1 HOURS PER MONTH, ZERO DURING TRADING, LANDLORD. RENTAL PROPERTY, INV RELATED, PRESCOTT, AZ, 100% OWNERSHIP, START 5/18/2018, 4 HOURS PER MONTH, ZERO DURING TRADING, WORK WITH PROPERTY MANAGER. COMPASS WEALTH MANAGEMENT LLC; INV RELATED; ROLLING HILLS ESTATES, CA; 50% OWNERSHIP; START 07/20/2023; 160 HOURS PER MONTH; 6 HOURS DURING TRADING; FINET TRANSITION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1989-05-16 |
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