Sylvia N Guinan

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

Authority	Category	Status	Date
CA	RA	APPROVED	2022-07-26
CT	RA	APPROVED	2009-05-29

CA RA
APPROVED

Since 2022-07-26
CT RA
APPROVED

Since 2009-05-29

Branch Locations

Old Saybrook, CT • United States

520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States

450 Post Road E, Westport, CT 06880 • United States

86 Denison Ave Ste 1, Mystic, CT 06355 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Essex	CT	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Essex	CT	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Essex, CT
11/2016 → Present

Wells Fargo Clearing Services, Llc

Essex, CT

Previous Registrations

2003-07-17 → 2009-06-04

Citigroup Global Markets Inc.

Hartford, CT

Hartford, CT

Other Businesses

SYLVIA'S STYLE; NON INV RELATED; WESTBROOK, CT; 80% OWNER; DESIGNING JEWELRY; START: 9/2005; 5 HRS/MO; 0 DURING TRADING. AUTHOR; NON INV RELATED; WESTBROOK, CT; BOOK - THE RICHNESS OF DIVORCE...HOW TO SEPARATE WITH LOVE AND GRACE; START: 4/2019; 10 HRS/MO; 0 DURING TRADING. SYLVIA GUINAN ENTERPRISES, LLC, NOT INVT RELATED, WESTBROOK, CT, 100% OWNERSHIP, START DATE 3/23/2020, 16 HRS PER MONTH, 0 HRS DURING TRADING, EXPENSES AND PROFITS RELATED TO BOOK.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-12-18
S63	Uniform Securities Agent State Law Examination	1998-12-16

S65 Uniform Investment Adviser Law Examination

1998-12-18
S63 Uniform Securities Agent State Law Examination

1998-12-16

Other Names

Sylvia N Biermann
Sylvia N Cuevas
Sylvia Nelly Bonivardo
Sylvia N Bonivardo

View on SEC IAPD