AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why Advisor Check
Steven Hefter

Steven Hefter

WELLS FARGO ADVISORS FINANCIAL NETWORK | Partner
Highland Park, IL
Some features on this profile are disabled
CRD#: 1231717
Steven Hefter

Professional summary


Steven Hefter, who also goes by Steven Jeffrey Hefter, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Highland Park, Illinois.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3 and Series 7 exams.

Biography


Steve is a Managing Director - Investments. As lead investment strategist, he is responsible for asset allocation and manager selection. Steve founded the team in 1983 at Goldman Sachs. Steve has a BA in Economics from Stanford University, and an MBA in Finance from Harvard University. Steve and his wife Janice have been married for over 30 years and have two children, Justin and Shira. Janice and Steve serve on the board of several Midwest offices of national non-profits. Steve is a member of the national board of directors of the International Fellowship of Christians and Jews.
top-8-questions

Question & Answer


What are your service offerings?
Financial planning
Philanthropic services
Trust & estate planning
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
3M
Are you a "fiduciary"?
Yes

Aliases


Steven Jeffrey Hefter

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
THE CANYONS RESORT, RESIDENTIAL RENTAL PROPERTY, INVESTMENT RELATED, PARK CITY UTAH, OWNER, BEGAN 2000, NO TIME SPENT, PROPERTY IS MANAGED BY THIRD PARTY - INFINITY PROPERTIES. JUSTSHIR INVESTMENTS, LP, INV RELATED, HIGHLAND PARK, IL, 99% OWNER, PERSONAL INVESTMENTS, BENEFICIARIES ARE CHILDREN, START 12/14/07, 1 HR/MONTH NOT DURING SECURITIES HOURS. STEVE HEFTER & JANICE HEFTER FAMILY FOUNDATION, INV RELATED, HIGHLAND PARK, IL, PRESIDENT AND TREASURER, START 12/29/2005, 3 HOURS PER MONTH, ZERO DURING TRADING, REVIEWING AND FINDING GIVING OPPORTUNITIES. HEF CORP, INV RELATED, HIGHLAND PARK, IL, 100% OWNERSHIP, START 5/9/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, FINET PRACTICE.; TRUSTEE FOR HLM CAPITAL LLC 401K/PSP, INV RELATED, HIGHLAND PARK, IL, START: 6/01/2019, 2 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE 401K.; CO-TRUSTEE FOR HLM CAPITAL CASH BALANCE PLAN DBP, INV RELATED, HIGHLAND PARK, IL, START: 1/1/2020, 1 HR/MONTH, 0 HRS DURING TRADING.; HLM CAPITAL LLC, INV RELATED, HIGHLAND PARK, IL, 42.5% OWNERSHIP, START 6/1/2019, 130 HOURS PER MONTH, 130 HOURS DURING TRADING, FINET PRACTICE.; CO-TRUSTEE FOR FATHER'S TRUST, INV RELATED, WILMETTE, IL, START: 2/14/2023, 1 HOUR A MONTH, LESS THAN 1 HOUR DURING TRADING.; CO-TRUSTEE FOR MOTHER'S TRUST, INV RELATED, WILMETTE, IL, START: 2/14/2023, 1 HOUR A MONTH, LESS THAN 1 HOUR DURING TRADING.

Blog Corner


CRS (Client Relationship Summary) - RIA


Click below to view Steven Hefter's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD


Click below to view Steven Hefter's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

June 5, 2019 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #2: 1849 Green Bay Rd Ste 200, Highland Park, IL 60035
RIA
BD
CRD#: 11025
Highland Park, IL
Current

June 5, 2019 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #2: 1849 Green Bay Rd Ste 200, Highland Park, IL 60035
RIA
BD
CRD#: 11025
Highland Park, IL
Past

February 2, 2007 - June 5, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HIGHLAND PARK, IL
Past

February 2, 2007 - June 5, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
HIGHLAND PARK, IL
Past

March 8, 1999 - February 6, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RIVERWOODS, IL
Past

January 25, 1999 - February 6, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
RIVERWOODS, IL
Past

March 17, 1995 - January 26, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 25, 1984 - April 13, 1995

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

Primary Firm SEC Registration


This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
1670 WEALTH MANAGEMENT | CRUNK FOLMAR & ASSOCIATES WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | CRT PRIVATE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | COVERED BRIDGE WEALTH MANAGEMENT | CORPORATE SECURITIES GROUP, INC. | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE STRATEGIC WEALTH MANAGEMENT | CORNAGIE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | CORK WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CORBETT & CAPEROON WEALTH MANAGEMENT OF TRUEJOURNEY | CONTINUITY GROUP | CONSERVANT FINANCIAL | CONSERVANT CAPITAL OF CONSERVANT FINANCIAL | CONCORD WEALTH MANAGEMENT OF WESTLAKE PRIVATE WEALTH MANAGEMENT | CONCORD PRIVATE WEALTH OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP, LLC. | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1792 CAPITAL | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA
Registered Investment Advisory firm - SEC (4/3/2000 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/5/2019)
RR
California
(6/5/2019)
RR
Colorado
(6/5/2019)
RR
Connecticut
(6/5/2019)
RR
Delaware
(6/5/2019)
RR
District of Columbia
(6/5/2019)
RR
Florida
(6/5/2019)
RR
Georgia
(6/5/2019)
RR
Hawaii
(3/21/2024)
RR
Illinois
(6/5/2019)
IAR
Illinois
(6/5/2019)
RR
Indiana
(6/5/2019)
RR
Maryland
(3/24/2021)
RR
Massachusetts
(6/5/2019)
RR
Michigan
(6/5/2019)
RR
Minnesota
(10/8/2025)
RR
Mississippi
(6/5/2019)
RR
Missouri
(6/5/2019)
RR
Nevada
(6/5/2019)
RR
New Hampshire
(7/23/2020)
RR
New Jersey
(6/5/2019)
RR
New Mexico
(6/5/2019)
RR
New York
(6/5/2019)
IAR
New York
(2/16/2023)
RR
North Carolina
(6/5/2019)
RR
Ohio
(6/5/2019)
RR
Oregon
(6/5/2019)
RR
Pennsylvania
(6/5/2019)
RR
South Carolina
(6/5/2019)
RR
South Dakota
(2/24/2025)
RR
Tennessee
(6/5/2019)
RR
Texas
(6/5/2019)
IAR
Texas
(6/5/2019)
RR
Utah
(6/5/2019)
IAR
Utah
(2/21/2023)
RR
Virginia
(6/5/2019)
RR
Washington
(6/5/2019)
RR
Wisconsin
(6/5/2019)

Exams


State Security Law Exam
IAR
Series 65
Date: 8/25/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 3/14/1984
Interest Rate Options Examination
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


WF
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
1670 WEALTH MANAGEMENT | CRUNK FOLMAR & ASSOCIATES WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | CRT PRIVATE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | COVERED BRIDGE WEALTH MANAGEMENT | CORPORATE SECURITIES GROUP, INC. | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE STRATEGIC WEALTH MANAGEMENT | CORNAGIE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | CORK WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CORBETT & CAPEROON WEALTH MANAGEMENT OF TRUEJOURNEY | CONTINUITY GROUP | CONSERVANT FINANCIAL | CONSERVANT CAPITAL OF CONSERVANT FINANCIAL | CONCORD WEALTH MANAGEMENT OF WESTLAKE PRIVATE WEALTH MANAGEMENT | CONCORD PRIVATE WEALTH OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP, LLC. | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1792 CAPITAL | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA
Registered Investment Advisory firm - SEC (4/3/2000 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information


Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue H0004-05c, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
3,658

SEC notice filing (52 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WFAFN - WRAP FEE BROCHURE ADVISORY PROGRAMS (9/22/2025)

Direct owners and executive officers


NamePositionCRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLCSOLE MEMBER
CRAVEN, JAMES JBOARD OF MANAGERS4323533
GINDI, SOLBOARD OF MANAGERS4903526
KARANIK, ERIK ANTHONYCHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS2260890
LACEY, PAULPRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL5616656
MARKMANN, DAVID FRANZDESIGNATED TEXAS OFFICER2637778
PATEL, RAKESHCHIEF FINANCIAL OFFICER5385585
SANKOVICH, PAUL CAMERONCHIEF COMPLIANCE OFFICER2475029
TA, KIMBERLY CROWDERBOARD OF MANAGERS/CONTROL PRINCIPAL4717506
TYERS, JOHN RPRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL2632380

Regulatory assets under management


Total Number of Accounts401,726
AUM (Assets Under Management)$ 197,360,196,619

Disclosures


Regulatory Event35
Arbitration39

Accountant surprise examination report


Filing DateForm ADV-E CoverForm ADV-E Report
01/24/2025
Cover Page
12/11/2023
02/17/2023

Red Flags


Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

PartnerCRD#: 11025Highland Park, IL

TRUST BUT VERIFY

Monitor Steven Hefter

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information


(xxx) xxx-xxxx
xxxxx@xxxx.xxx

Similar Advisors


Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics