Sylvia Geffen

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 11/2016
  Wells Fargo Advisors Llc
  La Jolla, CA
• 11/2016 → 06/2024
  Wells Fargo Clearing Services, Llc
  La Jolla, CA
• 06/2024 → Present
  Wells Fargo Advisors Financial Network, Llc
  La Jolla, CA

Previous Registrations

• 2009-06-05 → 2024-06-07
  Wells Fargo Clearing Services, Llc
  La Jolla, CA
• 2006-06-01 → 2009-06-16
  Citigroup Global Markets Inc.
  New York, NY
  San Diego, CA
• 1997-07-08 → 2006-06-05
  Morgan Stanley Dw Inc.
  La Jolla, CA

Other Businesses

TRUSTEE FOR CHILDREN, INVESTMENT RELATED, LA JOLLA, CA, START 2002, 2 HOURS PER MONTH;| CO-TRUSTEE FOR MOTHER, INVT RELATED, SAN DIEGO, CA, START DATE 6/18/2009, 0 HRS PER MONTH AND DURING TRADING, | GOLD PIP, NON INVT RELATED, LA JOLLA, CA, START DATE 3/18/2010, 51% OWNERSHIP, 0 HOURS PER MONTH, 0 DURING MARKET, HOLDS REAL ESTATE PROPERTY FOR WALMART.| TRUSTEE FOR SISTER; INVESTMENT RELATED; SAN DIEGO, CA; START DATE 11/3/2020, 0 HRS PER MONTH AND DURING TRADING| SEA BREEZE INVESTMENTS; INVESTMENT RELATED; SAN DIEGO, CA; REAL ESTATE INVESTMENTS; 3.84% OWNERSHIP; START 1/1/2011; NO TIME DEVOTED.;| TRUSTEE FOR SON, INV RELATED, LA JOLLA, CA, START: 8/26/2021, 2 HRS/MONTH, 1 HR DURING TRADING.| SGTRADER, LLC, INVT RELATED, LA JOLLA, CA, START DATE 2/15/2023, 20 HRS PER MONTH, 20 HRS DURING TRADING, LLC TO RUN FINET BUSINESS.| JBM 2022 GST TRUST FBO THOMAS MORRIS; INV RELATED; SAN DIEGO, CA; TRUSTEE; START DATE 01/08/2024; 1 HOUR PER MONTH; 0 HOURS DURING TRADING| JBM 2022 GST TRUST FBO JODI MORRIS; INV RELATED; SAN DIEGO, CA; TRUSTEE; START DATE 01/08/2024; 1 HOUR PER MONTH; 0 HOURS DURING TRADING| JBM 2022 GST TRUST FBO SAMUEL MORRIS; INV RELATED; SAN DIEGO, CA; TRUSTEE; START DATE 01/08/2024; 1 HOUR PER MONTH; 0 HOURS DURING TRADING|

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-07-06
• S63 Uniform Securities Agent State Law Examination
  1983-05-24

Other Names

• Sylvia Helen Fischer
• Sylvia Helen Geffen