Areas of Practice
Investment Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
53 advisors
IM Fee
Planning only
Assets Under Management
$40.8B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
550 S TRYON ST 40th floor, Charlotte, NC, 28202-4200
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Wells Fargo Investment Institute, INC.
December 2024 - Present · 1 yr 3 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
November 2016 - October 2024 · 7 yrs 11 mos
First Clearing, LLCBroker
August 2004 - November 2016 · 12 yrs 3 mos
Securian Financial Services, INC.Broker
June 2004 - July 2004 · 1 mo
State Registrations1 state
NC
Advisor
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.