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Sanford Katz

Wells Fargo Advisors
40 Years of Experience
San Francisco, CA
1 DisclosureBroker
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Sanford Katz is a registered investment advisor at Wells Fargo Advisors, based in San Francisco, CA, with 40 years of industry experience. Sanford is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

555 California St 24th Fl, San Francisco, CA, 94104

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
April 2017
Final
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Other Business Activities

Sanford is a 100% owner of a grape growing business in St. Helena, CA, selling grapes to wineries. He dedicates a few hours per week to this non-investment related activity.

Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
December 2015 - Present · 10 yrs 10 mos
Wells Fargo Clearing Services, LLC
December 2015 - Present · 10 yrs 10 mos
Wells Fargo Advisors
December 2015 - Present · 10 yrs 10 mos
Previous Registrations
Credit Suisse Securities (USA) LLC
October 2008 - December 2015 · 7 yrs 2 mos
Credit Suisse Securities (USA) LLCBroker
October 2008 - December 2015 · 7 yrs 2 mos
UBS Financial Services INC.
December 2002 - October 2008 · 5 yrs 10 mos
UBS Financial Services INC.Broker
December 2002 - October 2008 · 5 yrs 10 mos
Goldman, Sachs & CO.Broker
September 1986 - December 2002 · 16 yrs 3 mos
State Registrations49 states
AKALAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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