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Joseph Nicholas Gaunt

Wells Fargo Clearing Services, LLC

Vineland, NJ

CRD 7044298

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 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 Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-05-28
NJ RA APPROVED 2021-04-20
  • TX RA
    APPROVED
    Since 2021-05-28
  • NJ RA
    APPROVED
    Since 2021-04-20

Branch Locations

1051 W Sherman Ave Bldg 5/Ste B, Vineland, NJ 08360 • 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 Clearing Services, Llc Vineland NJ 11/2018 Present
Rowan University Glasboro NJ 09/2013 06/2017
Newfield National Bank Newfield NJ 01/2018 10/2018
Newfield National Bank Newfield NJ 09/2017 12/2017
  • 11/2018 → Present
    Wells Fargo Clearing Services, Llc
    Vineland, NJ
  • 09/2013 → 06/2017
    Rowan University
    Glasboro, NJ
  • 01/2018 → 10/2018
    Newfield National Bank
    Newfield, NJ
  • 09/2017 → 12/2017
    Newfield National Bank
    Newfield, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-19
  • S66 Uniform Combined State Law Examination
    2021-04-19
Other Names
  • Joseph Gaunt
  • Stern

View on SEC IAPD

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Nearby Investors

TIMOTHY JAMES GARDNER
DOMINIC RUSSELL ROMANO
ANTHONY C ROMANO

Nearby Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Vineland, NJ
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Vineland, NJ
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Vineland, NJ

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