Howard Adler

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:

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

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  San Francisco, CA
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  San Francisco, CA

Previous Registrations

• 2001-03-09 → 2003-07-01
  Prudential Equity Group, Llc
  San Francisco, CA

Other Businesses

SOUTHWEST CAPITAL GROUP LLC, SAN RAFAEL, CA PURCHASING OF REAL ESTATE,PRESIDENT, 6/2004, 2-4 HRS, BUYING & SELLING REAL ESTATE PAYING BILLS. RENTAL PROPERTY, INV RELATED, LAS VEGAS, NV, 100% OWNER, START 2/2013, 1 HOUR PER MONTH/0 DURING TRADING. RENTAL PROPERTY, INV RELATED, LAS VEGAS, NV, 100% OWNER, START 2/2013, 1 HOUR PER MONTH/0 DURING TRADING. RENTAL PROPERTY, INV RELATED, MARICOPA, AZ, 100% OWNER, START 2/2013, 1 HOUR PER MONTH/0 DURING TRADING.; RENTAL PROPERTY, INV RELATED, RENO, NV, 100% OWNERSHIP, START 5/11/2022, 0 HRS/MONTH, 0 HRS DURING TRADING. RENTAL PROPERTY, INV RELATED, FERNLEY, NV, 50% OWNERSHIP, START 9/27/2022, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, COLLECTING RENT. RENTAL PROPERTY, INV RELATED, FERNLEY, NV, 100% OWNERSHIP, START 9/8/2023, 1 HOUR PER MONTH, 0 HOURS DURING TRADING, COLLECTING RENT.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-04-19
• S63 Uniform Securities Agent State Law Examination
  1984-07-02