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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 2021-02-03
  • CA RA
    APPROVED
    Since 2021-02-03

Branch Locations

4340 Von Karman Ave Suite 101, Newport Beach, CA 92660 • 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
Dcvu Photography Los Angeles CA 09/2014 Present
Ubs Private Wealth Management Los Angeles CA 08/2015 11/2016
Ubs Financial Services Inc. Newport Beach CA 11/2016 01/2021
Wells Fargo Advisors Financial Network, Lcc Newport Beach CA 01/2021 Present
  • 09/2014 → Present
    Dcvu Photography
    Los Angeles, CA
  • 08/2015 → 11/2016
    Ubs Private Wealth Management
    Los Angeles, CA
  • 11/2016 → 01/2021
    Newport Beach, CA
  • 01/2021 → Present
    Wells Fargo Advisors Financial Network, Lcc
    Newport Beach, CA
Previous Registrations
Other Businesses

DCVU PHOTOGRAPHY; NOT INV RELATED; SANTA ANA, CA; 100% OWNERSHIP; START 1/1/2014; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; PHOTOGRAPHY BUSINESS. PEKU CALIFORNIA CHICKEN; NOT INV RELATED; CALLE MANUEL LOPEZ COTILLA, COLOMBIA; 2% OWNERSHIP; START 3/1/2017; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; CHICKEN RESTAURANT. RENTAL PROPERTY; INV RELATED; LONG BEACH, CA; 100% OWNERSHIP; START 2/1/2017; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER. DDMP RENTAL PROPERTIES, LLC; INV RELATED; SCOTTSDALE, AZ; 25% OWNERSHIP; START 12/1/2020; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; HOLDS RENTAL PROPERTIES. TOPLINE BEAUTY COLLEGE, NOT INV RELATED, SANTA ANA, CA, 5% OWNERSHIP, START 6/1/2024, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, PASSIVE INVESTOR.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-04
  • S66 Uniform Combined State Law Examination
    2016-11-04

View on SEC IAPD

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