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Francis Spina

19 Years of Experience
Westport, CT
Broker

Francis Spina is a registered investment advisor at Wells Fargo Advisors, based in Westport, CT, with 19 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B

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

285 Riverside Ave Suite 250, [Satellite], Westport, CT, 06880

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History

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.

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Other Business Activities

Francis owns Spina Financial Planning LLC, which is investment related. He spends minimal time on this activity.

Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
April 2024 - Present · 2 yrs 1 mo
Wells Fargo Advisors
April 2024 - Present · 2 yrs 1 mo
Previous Registrations
Wells Fargo Advisors
November 2006 - April 2024 · 17 yrs 5 mos
Wells Fargo Clearing Services, LLCBroker
June 2006 - April 2024 · 17 yrs 10 mos
State Registrations17 states
AZCACOCTFLILMAMDMONCNJNVNYPARITXVA
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.
Francis Spina - Financial Advisor | TrueAdvisor