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Joseph Peter Panfil

Wells Fargo Clearing Services, LLC

Westerville, OH

CRD 5081307

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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

AuthorityCategoryStatusDate
OH RA APPROVED 2018-11-02
TX RA APPROVED 2018-11-02
  • OH RA
    APPROVED
    Since 2018-11-02
  • TX RA
    APPROVED
    Since 2018-11-02

Branch Locations

380 Polaris Pkwy Ste 250, Westerville, OH 43082 • 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 Financial Services Inc New Albany OH 01/2009 11/2018
Wells Fargo Clearing Services Llc Columbus OH 11/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-28
  • S66 Uniform Combined State Law Examination
    2006-12-28
Other Names
  • Joseph Panfil
  • Joseph Peter Panfil
  • Joseph Peter Peter Panfil

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · Westerville, OH
ARSENEAU FINANCIAL · WESTERVILLE, OH
ELEVATION FINANCIAL PARTNERS, LLC · WESTERVILLE, OH

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