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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-11-21 |
| NY | RA | APPROVED | 2021-07-22 |
| TX | RA | APPROVED_RES | 2020-09-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 10/2008 | 06/2017 |
| Wells Fargo Advisors Financial Network, Llc | New York | NY | 06/2017 | Present |
ARYA LANE CAPITAL LLC, INV RELATED, NEW YORK, NY, 100% OWNERSHIP, START 6/23/2017, ZERO HOURS PER MONTH, ZERO DURING TRADING, FINET PRACTICE.; TRUSTEE FOR ARYA LANE CAPITAL 401K, INV RELATED, NEW YORK, NY, START: 12/7/2020, 2 HRS/MONTH, 1 HR DURING TRADING, FINET PRACTICE 401K.; TRUSTEE FOR ARYA LANE CAPITAL CASH BALANCE PLAN DBP, INV RELATED, JERSEY CITY, NJ, START: 5/11/2021, 1 HR/MONTH, LESS THAN 1 HR DURING TRADING, FINET PRACTICE DBP.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-08 |
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