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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
OH RA APPROVED 2023-09-01
TX RA APPROVED 2023-08-25
  • OH RA
    APPROVED
    Since 2023-09-01
  • TX RA
    APPROVED
    Since 2023-08-25

Branch Locations

Columbus, OH • United States

6767 Longshore Street, Dublin, OH 43017 • 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
Morgan Stanley Private Bank, National Association New York NY 01/2015 08/2023
Morgan Stanley Smith Barney Llc Dublin OH 01/2016 08/2023
Wells Fargo Advisors Financial Network, Llc Dublin OH 08/2023 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 01/2015 → 08/2023
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 01/2016 → 08/2023
    Morgan Stanley Smith Barney Llc
    Dublin, OH
  • 08/2023 → Present
    Dublin, OH
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2011-12-12 → 2023-09-01
    Columbus, OH
    Dublin, OH
  • 2005-12-07 → 2011-12-05
    Chase Investment Services Corp.
    Columbus, OH
    Columbus, OH
    Dublin, OH
    Columbus, OH
    Columbus, OH
    Dublin, OH
  • 2005-01-07 → 2005-12-09
    Morgan Stanley Dw Inc.
    Columbus, OH
  • 2004-08-02 → 2005-01-03
    Uniontown, OH
Other Businesses

1. ALJ CAPITAL INVESTMENTS, LLC; INV RELATED; COLUMBUS OH; 100% OWNERSHIP; START 02/10/2011; 5 HOURS PER MONTH; 0 HOURS DURING TRADING; HOLDS RENTAL PROPERTY. 2. ETP CAPITAL LLC; INV. RELATED; COLUMBUS, OH; 100% OWNERSHIP; RENTAL PROPERTY SALES; START DATE 5/24/2021; 0 HRS PER MONTH; 0 HRS DURING TRADING. 3. RENTAL PROPERTY; INV. RELATED; COLUMBUS, OH; 100% OWNERSHIP; START DATE 3/1/2012; 1 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: LANDLORD. 4. RENTAL PROPERTY; INV. RELATED; MILLERSPORT, OH; 100% OWNERSHIP; START DATE 1/1/2019; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: LANDLORD. 5. RENTAL PROPERTY; INV. RELATED; NAPLES, FL; 100% OWNERSHIP; START DATE 2/1/2021; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: LANDLORD. 6. RENTAL PROPERTY; INV. RELATED; COLUMBUS, OH; 100% OWNERSHIP; START DATE 6/1/2009; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: LANDLORD. 7. RENTAL PROPERTY; INV. RELATED; COLUMBUS, OH; 100% OWNERSHIP; START DATE 9/1/2022; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: LANDLORD. 8. RENTAL PROPERTY; INV. RELATED; HILTON HEAD, SC; 100% OWNERSHIP; START DATE 1/1/2019; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: LANDLORD. ALJANCIC FINANCIAL SERVICES LLC; INV RELATED; COLUMBUS, OH; 100% OWNERSHIP; START DATE 1/6/2024; 0 HOURS PER MONTH; 0 DURING TRADING; FINET PRACTICE. 11. RENTAL PROPERTY, INV RELATED, NAPLES, FL, 100% OWNERSHIP, START: 3/20/24, 1 HR PER MONTH, 0 HRS DURING TRADING. RENTAL PROPERTY; INV RELATED; HEATH, OH; 100% OWNERSHIP; START DATE 4/1/2024; 1 HOUR PER MONTH; 0 DURING TRADING; LANDLORD AND OWNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-13
  • S66 Uniform Combined State Law Examination
    2004-04-13

View on SEC IAPD

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