Best Investors Account Sign in
Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 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:

Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-08-11
TX RA APPROVED 2025-08-11
  • CA RA
    APPROVED
    Since 2025-08-11
  • TX RA
    APPROVED
    Since 2025-08-11

Branch Locations

1050 W. Lake Drive Suite 225 [Office Of Convenience], West Covina, CA 91791 • United States

225 Seven Farms Dr Ste 300, Charleston, SC 29492 • United States

790 East Colorado Boulevard 510 [Satellite], Pasadena, CA 91101 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc West Covina CA 11/2016 08/2025
Wells Fargo Advisors Financial Network, Llc Pasadena CA 08/2025 Present
Wells Fargo Advisors Llc West Covina CA 01/2011 11/2016
Previous Registrations
  • 2011-01-03 → 2025-08-11
    Claremont, CA
    West Covina, CA
    West Covina, CA
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
  • 2006-11-14 → 2011-01-03
    Wells Fargo Investments, Llc
    Montrose, CA
    West Covina, CA
    Claremont, CA
    West Covina, CA
    Alhambra, CA
    Montrose, CA
    Alhambra, CA
Other Businesses

RENTAL PROPERTY, INV RELATED, LA QUINTA, CA, 100% OWNERSHIP, START 4/1/2019, 3 HOURS PER MONTH, ZERO DURING TRADING. AMERICA SAYS, NOT INVT RELATED, HOLLYWOOD, CA, GAME SHOW CONTESTANT, START 4/26/2021, 2 HRS PER MONTH, 0 HRS DURING TRADING, GAME SHOW CONTESTANT WITH FAMILY. RENTAL PROPERTY, INV RELATED, ST. AUGUSTINE, FL, 50% OWNERSHIP, START 3/1/2022, 3 HOURS PER MONTH, ZERO HOURS DURING TRADING. TBD, LLC, INVT RELATED, ST. AUGUSTINE, FL, 33.33% OWNERSHIP, START DATE 6/1/2023, 1 HR PER MONTH, 0 HRS DURING TRADING, FOR RENTAL PROPERTIES. CONSTANTINIDES, FRISINA & ASSOCIATES ; NOT INV RELATED; ALTADENA,CA; FINET;100% OWNERSHIP; START DATE: 08/11/2025; 2 HRS PER MONTH; 2 HRS DURING TRADING;|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-11-13
S63 Uniform Securities Agent State Law Examination 1996-10-02
  • S65 Uniform Investment Adviser Law Examination
    2006-11-13
  • S63 Uniform Securities Agent State Law Examination
    1996-10-02

View on SEC IAPD

More in West Covina, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor