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Philippe William Lathrop

Wells Fargo Advisors Financial Network, LLC

Homewood, AL

CRD 2306094

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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
AL RA APPROVED 2023-06-01
TX RA APPROVED 2023-06-01
  • AL RA
    APPROVED
    Since 2023-06-01
  • TX RA
    APPROVED
    Since 2023-06-01

Branch Locations

600 University Park Place Suite 130 & 175, Homewood, AL 35209 • 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
Bank Of America, N.A. Birmingham AL 12/2009 06/2023
Wells Fargo Advisors Financial Network, Llc Birmingham AL 06/2023 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-12-10
S65 Uniform Investment Adviser Law Examination 1992-12-02
  • S63 Uniform Securities Agent State Law Examination
    1999-12-10
  • S65 Uniform Investment Adviser Law Examination
    1992-12-02

View on SEC IAPD

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