Joseph Nathan Diller

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 08/2019
  Ameriprise Financial Services, Inc.
  Woodland Hills, CA
• 10/2009 → 08/2019
  Ameriprise Financial Services, Inc.
  Woodland Hills, CA
• 08/2019 → Present
  Wells Fargo Clearing Services, Llc
  Woodland Hills, CA

Previous Registrations

• 2009-10-05 → 2019-09-20
  Ameriprise Financial Services, Llc
  Woodland Hills, CA
• 2008-12-17 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Woodland Hills, CA
• 2001-06-26 → 2008-11-17
  Ubs Financial Services Inc.
  Woodland Hills, CA
  Woodland Hills, CA

Other Businesses

RENTAL PROPERTY, INVT RELATED, SAN PEDRO, CA, 100% OWNERSHIP, START DATE 3/22/2021, 1 HR PER MONTH, 0 HRS DURING TRADING, COLLECT RENT AND PAY EXPENSES. DILLER AND DILLER, LLC; NOT INV. RELATED; KALISPELL,MT; 100% OWNERSHIP; START DATE 01/14/2022; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; HOLDS A CAR.; EXECUTOR FOR FRIEND, INV RELATED, PACIFIC GROVE, CA, START: 1/6/2023, 12 HOURS A MONTH, 0 HOURS DURING TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-25
• S63 Uniform Securities Agent State Law Examination
  1989-03-22

Other Names

• Joe Diller
• Joseph Nathan Diller