Edward Thomas Finocchiaro

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
FL	RA	APPROVED	2022-06-17
NY	RA	APPROVED	2021-10-18
NJ	RA	APPROVED	2015-11-20

FL RA
APPROVED

Since 2022-06-17
NY RA
APPROVED

Since 2021-10-18
NJ RA
APPROVED

Since 2015-11-20

Branch Locations

68 S Service Rd Ste 200, Melville, NY 11747 • United States

Fort Myers, 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

Organization	City	State	From	To
Wells Fargo Advisors	Melville	NY	06/2015	11/2016
Wells Fargo Clearing Services, Llc	Melville	NY	11/2016	Present

06/2015 → 11/2016

Wells Fargo Advisors

Melville, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Melville, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-10-16
S63	Uniform Securities Agent State Law Examination	1996-01-22

S65 Uniform Investment Adviser Law Examination

2021-10-16
S63 Uniform Securities Agent State Law Examination

1996-01-22

Other Names

Eddie Fino

View on SEC IAPD