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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
TX RA APPROVED 2025-07-24
  • TX RA
    APPROVED
    Since 2025-07-24

Branch Locations

5560 Tennyson Plwy Ste 130 [Satellite], Plano, TX 75024 • United States

1700 E Putnam Ave Ste 200, Old Greenwich, CT 06870 • 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 Advisors Llc Plano TX 07/2014 11/2016
Wells Fargo Clearing Services, Llc Plano TX 11/2016 07/2025
Wells Fargo Advisors Financial Network, Llc Plano TX 07/2025 Present
Previous Registrations
Other Businesses

C-3 FAMILY, LP, INV-RELATED, DALLAS, TX, TO PURCHASE REAL ESTATE FOR IMPROVEMENT & RESALE, 99.99% OWNERSHIP WITH SPOUSE, 5 HRS/MO, 0 DURING TRADING. | GRAN CIERVO, LLC; INV RELATED; PLANO, TX; 100% OWNERSHIP; 04/2025; 160 HOURS PER MONTH; 160 HOURS DURING TRADING; FINET PRACTICE | HARGROVE GP, LLC ;INV RELATED; COPPELL,TX; MERCHANT PARTNERSHIP;90% OWNERSHIP; Capital Partnership Vehicle; START DATE: 08/11/2025; 2 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-06
S63 Uniform Securities Agent State Law Examination 2000-02-15
  • S66 Uniform Combined State Law Examination
    2000-12-06
  • S63 Uniform Securities Agent State Law Examination
    2000-02-15
Other Names
  • Tom Hargrove
  • Thomas Alan Hargrove

View on SEC IAPD

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