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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
CT RA APPROVED 2023-11-09
  • CT RA
    APPROVED
    Since 2023-11-09

Branch Locations

7200 Wisconsin Ave Ste 903, Bethesda, MD 20814 • United States

285 Riverside Ave Suite 250 [Satellite], Westport, CT 06880 • 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
Ubs Westport CT 03/2009 11/2023
Wells Fargo Advisors Financial Network, Llc Westport CT 11/2023 Present
Previous Registrations
Other Businesses

Notary / 95 Brighton View Rd Faifield,CT 06824 / No/ Privately Held / USD / No / No / / Start Date 03/13/2017 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-04-19
  • S66 Uniform Combined State Law Examination
    2011-04-19
Other Names
  • Norena Howard

View on SEC IAPD

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