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Wells Fargo Advisors Financial Network, LLC CRD 11025
$252B regulatory AUM 2,990 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-03-10 |
| SC | RA | APPROVED | 2023-03-10 |
Branch Locations
Hilton Head Island, SC • United States
274 Riverside Ave [Satellite], Westport, CT 06880 • United States
1700 E Putnam Ave Ste 200, Old Greenwich, CT 06870 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Westport | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Westport | CT | 11/2016 | 03/2023 |
| Wells Fargo Advisors Financial Network, Llc | Old Greenwich | CT | 03/2023 | Present |
DCB ASSET MANAGEMENT, INVT RELATED, MILFORD, CT, 100% OWNERSHIP, START DATE 5/1/2023, 1 HR PER MONTH, 0 HRS DURING TRADING, CASH AND TAX MANAGEMENT FOR FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1983-05-04 |
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