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Adam Shiono

Wells Fargo Advisors Financial Network, LLC

Irvine, CA

Santa Ana, CA

CRD 3047726

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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
CA RA APPROVED 2024-02-02
TX RA APPROVED 2024-02-02
  • CA RA
    APPROVED
    Since 2024-02-02
  • TX RA
    APPROVED
    Since 2024-02-02

Branch Locations

Irvine, CA • United States

1551 N Tustin Ave Ste 100, Santa Ana, CA 92705 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Newport Beach CA 10/2010 11/2016
Wells Fargo Clearing Services, Llc Newport Beach CA 11/2016 02/2024
Wells Fargo Advisors Financial Network, Llc Santa Ana CA 01/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-07
S63 Uniform Securities Agent State Law Examination 1998-06-29
  • S65 Uniform Investment Adviser Law Examination
    1998-07-07
  • S63 Uniform Securities Agent State Law Examination
    1998-06-29
Other Names
  • S. Adam Shiono
  • Shotaro Adam Shiono

View on SEC IAPD

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