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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
TN RA APPROVED 2021-06-15
FL RA APPROVED 2021-04-22
TX RA APPROVED_RES 2021-04-21
  • TN RA
    APPROVED
    Since 2021-06-15
  • FL RA
    APPROVED
    Since 2021-04-22
  • TX RA
    APPROVED_RES
    Since 2021-04-21

Branch Locations

Ronan Mountain, TN • United States

5700 North Highway Us1 Ste 200, Melbourne, FL 32940 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Melbourne FL 12/2008 04/2021
Bank Of America, Na Melbourne FL 12/2009 04/2021
Wells Fargo Advisors Financial Network, Llc Melbourne FL 04/2021 Present
Previous Registrations
  • 2008-12-12 → 2021-04-23
    Rockledge, FL
    Rockledge, FL
    Roan Mountain, TN
    Roan Mountain, TN
  • 2007-04-02 → 2008-12-15
    Morgan Stanley & Co. Llc
    Melbourne, FL
  • 1996-11-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Melbourne, FL
    Melbourne, FL
Other Businesses

VERITAS TACTICAL; NOT INVESTMENT RELATED; ORLANDO, FL; PROTECTION TEAM MEMBER; START 12/1/2017; 40 HOURS PER MONTH; ZERO HOURS DURING TRADING 0; PROTECTING HIGH VALUABLE TARGETS. LLEWS PLACE LLC, INV RELATED, MELBOURNE, FL, 100% OWNERSHIP, START 4/13/2021, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE. GOF PARTNERS, LLC INVT RELATED, MELBOURNE, FL, 40% OWNERSHIP, START DATE 3/2/2021, 160 HRS PER MONTH AND DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-05
S63 Uniform Securities Agent State Law Examination 1996-11-29
  • S65 Uniform Investment Adviser Law Examination
    1996-12-05
  • S63 Uniform Securities Agent State Law Examination
    1996-11-29
Designations
  • Certified Financial Planner

View on SEC IAPD

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