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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 2021-09-02
VA RA APPROVED 2021-09-02
  • TX RA
    APPROVED
    Since 2021-09-02
  • VA RA
    APPROVED
    Since 2021-09-02

Branch Locations

5701 Patterson Ave Ste 101 Fl 1, Richmond, VA 23226 • 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 Richmond VA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Richmond VA 11/2016 09/2021
Wells Fargo Advisors Financial Network, Llc Richmond VA 09/2021 Present
Previous Registrations
  • 2002-08-08 → 2021-09-02
    Richmond, VA
    Richmond, VA
    Richmond, VA
  • 1993-04-08 → 2002-08-20
    Legg Mason Wood Walker, Incorporated
    Richmond, VA
Other Businesses

GRANITE WEALTH MANAGEMENT, LLC, INVT RELATED, RICHMOND, VA, 28% OWNERSHIP, START DATE 09/03/2021, 160 HRS PER MONTH, 160 HRS DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-21
S63 Uniform Securities Agent State Law Examination 1991-10-18
  • S65 Uniform Investment Adviser Law Examination
    1992-08-21
  • S63 Uniform Securities Agent State Law Examination
    1991-10-18
Other Names
  • Craig Dods
  • Crain R Dods
  • Craig Ronald Dods

View on SEC IAPD

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