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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
GA RA APPROVED 2022-09-06
FL RA APPROVED 2022-09-02
OR RA APPROVED 2022-09-01
  • GA RA
    APPROVED
    Since 2022-09-06
  • FL RA
    APPROVED
    Since 2022-09-02
  • OR RA
    APPROVED
    Since 2022-09-01

Branch Locations

One N Jefferson Ave, St. Louis, MO 63103 • United States

St. Petersburg, FL • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Atlanta GA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Atlanta GA 11/2016 09/2022
Wells Fargo Advisors Financial Network, Llc Atlanta GA 09/2022 Present
Previous Registrations
  • 2002-07-03 → 2022-09-01
    Atlanta, GA
    Atlanta, GA
    Dunwoody, GA
    Dunwoody, GA
    Dunwoody, GA
    Atlanta, GA
    Atlanta, GA
    Bend, OR
    Atlanta, GA
    Dunwoody, GA
    Atlanta, GA
    Bend, OR
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    St. Petersburg, FL
Other Businesses

TRUSTEE FOR NEPHEW'S TRUST (1); INV. RELATED; ST. PETERSBURG, FL; START 3/2021; 1 HR PER MONTH. TRUSTEE FOR NEPHEW'S TRUST (2); INV. RELATED; ST. PETERSBURG, FL; START 3/2021; 1 HR PER MONTH. SUSAMPAD, INC., INV RELATED, ST. PETERSBURG, FL, 100% OWNERSHIP, START 8/10/2022, 3 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE. TRUSTEE FOR DECEASED SPOUSES GST EXEMPT TRUST; INV. RELATED; ST PETERSBURG, FL; START 5/2014; 1 HR PER MONTH; 0 HRS DURING TRADING. TRUSTEE FOR DECEASED SPOUSES GST NON-EXEMPT TRUST; INV. RELATED; ST PETERSBURG, FL; START 5/2014; 1 HR PER MONTH; 0 HRS DURING TRADING. TRUSTEE FOR DECEASED SPOUSES LIVING TRUST; INV. RELATED; ST PETERSBURG, FL; START 3/2020; 1 HR PER MONTH; 0 HRS DURING TRADING. TRUSTEE FOR DECEASED SPOUSES IRREVOCABLE TRUST; INV. RELATED; ST PETERSBURG, FL; START 1/27/2013; 1 HR PER MONTH; 0 HRS DURING TRADING. KRC LEGACY LLC, INV RELATED, WILMINGTON, DE, 100% OWNERSHIP, START 12/29/2022, .5 HOURS PER MONTH, ZERO HOURS DURING TRADING, ESTATE PLANNING FOR FAMILY TRUSTS. BENEFICIARY FOR FRIEND; INV RELATED; ENGLEWOOD,FL; NOT FIDUCIARY ; BENEFICIARY; START DATE: 01/20/2026; 5 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-06
S63 Uniform Securities Agent State Law Examination 1995-03-01
  • S65 Uniform Investment Adviser Law Examination
    1999-10-06
  • S63 Uniform Securities Agent State Law Examination
    1995-03-01
Designations
Other Names
  • Diane Lynn Wiesler

View on SEC IAPD

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