Louis Anthony Garofano

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

• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Greenwood Village, CO
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Greenwood Village, CO

Previous Registrations

• 2007-07-06 → 2011-01-03
  Wells Fargo Investments, Llc
  Greenwood Village, CO
  Greenwood Village, CO
  Greenwood Village, CO
• 2004-10-20 → 2007-06-19
  Banc Of America Investment Services, Inc.
  Providence, RI
  Providence, RI
  North Scituate, RI
  Woonsocket, RI
  Johnston, RI
  North Providence, RI
  Cumberland, RI
  Woonsocket, RI
  Cumberland, RI
  Woonsocket, RI
  Central Falls, RI
  Greenville, RI
  Lincoln, RI
  Slatersville, RI
  Pascoa, RI
  Providence, RI
  Pawtucket, RI
  Providence, RI
  Newport, RI
  East Gerenwich, RI
  Cranston, RI
  Providence, RI
  East Providence, RI
  Jamestown, RI
  Providence, RI
  Cranston, RI
  Wickford, RI
  Warwick, RI
  East Providence, RI
  Wakefield, RI
  Warren, RI
  East Providence, RI
  Providence, RI
  West Warwick, RI
  Warwick, RI
  Providence, RI
  Tiverton, RI
  Bristol, RI
  Lincoln, RI
  Providence, RI
  North Kingstown, RI
  Providence, RI
  Pawtucket, RI
  Westerly, RI
  Providence, RI
  Providence, RI
  Warwick, RI
  North Providence, RI
  Cranston, RI
  Jamestown, RI
  Middletown, RI
  Barrington, RI
• 2002-11-22 → 2004-10-20
  Quick & Reilly, Inc.
  Phoenix, AZ

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-06-05
• S63 Uniform Securities Agent State Law Examination
  1992-02-26