WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
(CRD# 11025)
is an SEC-Registered Investment Advisor (RIA), headquartered in
St. Louis, MO.
The SEC approved the firm to operate as an RIA in
Apr 2000.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$47.5 Billion,
with discretion over
73%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
also reported in
Mar 2019
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1978
employees,
with
1211
performing advisory functions.
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A total of 722 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC has one or more disclosure events currently on file with the SEC.
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC has Notice Filings with the following State Securities Authorities:
AK-Feb 2002, AL-May 1997, AR-Oct 1999, AZ-Sep 1999, CA-Jul 1997
, CO-Mar 1999, CT-Feb 2001, DC-Aug 2000, DE-Aug 2003, FL-Jan 1985
, GA-Jan 1992, HI-Feb 2002, IA-Feb 2002, ID-Nov 2000, IL-Apr 2002
, IN-Mar 2002, KS-Mar 2002, KY-Feb 2002, LA-Feb 2002, MD-Mar 2001
, ME-Mar 2002, MI-Mar 2001, MN-Mar 2002, MO-May 1997, MS-Mar 2001
, MT-Feb 2002, NC-Mar 2001, ND-Feb 2002, NE-Mar 2001, NH-Mar 2001
, NJ-May 1995, NM-Mar 2001, NV-Jun 1997, NY-Sep 1994, OH-Mar 2001
, OK-Feb 2001, OR-Oct 2005, PA-Feb 2002, PR-Mar 2016, RI-Feb 2002
, SC-Jun 1999, SD-Feb 2002, TN-Oct 2001, TX-May 1986, UT-Feb 2002
, VA-Mar 2001, VI-Jun 2005, VT-Feb 2002, WA-Jul 1997, WI-Feb 2002
, WV-Jan 2002, WY-Jul 2017
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
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SEC. Feel free to contact
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