LP
Lisa A. Petrie
WELLS FARGO ADVISORS FINANCIAL NETWORK | Managing Director
Incline Village, NV 89451
Some features on this profile are disabled
CRD#: 1251631
LP
Professional summary
Lisa Anne Petrie, CFP® is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Incline Village, Nevada.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Lisa has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
What are your service offerings?
Insurance
Financial planning
Trading individual securities
Trust & estate planning
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
None
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.
ONE MEADOWLARK LLC, INV REL, ROLLING HILLS, CA, 100% OWNER, START 10/15/2013, NO TIME DEVOTED. LEGACY ARMS LLC, INV RELD, INCLINE VILLAGE, NV, CO-OWNER, PPTY INVT, START 12/2017, 1 HR PER MO, 0 HRS DURING TRADE, MANAGER. ONE FORTY ONE LLC, INV RELD, INCLINE VILLAGE, NV, CO-OWNER, PPTY INVT, START 12/29/2017, 1 HR PER MO, 0 HRS DURING TRADE, MANAGER. ALL GOOD M43 LLC, INV RELD, INCLINE VILLAGE, NV, 25% OWNERSHIP, START 12/29/2017, 1 HR PER MO, 0 HRS DURING TRADE, DUTIES: MANAGER. WASHINGTON HEIGHTS LLC, INV. RELATED, INCLINE VILLAGE, CA, CO-OWNER, PPTY INVT, START 12/29/2017, 1 HR PER MO, 0 HRS DURING TRADE, DUTIES: MANAGER. HABITAT FLATS LLC, INV. REL, INCLINE VILLAGE, CA, CO-OWNER, PPTY INVT, START 12/29/2017, 1 HR PER MO, 0 HRS DURING TRADE, DUTIES: MANAGER. TRUCKEE FLATS LLC, INV. REL, INCLINE VILLAGE, CA, CO-OWNER, PPTY INVT, START 12/29/2017, 1 HR PER MO, 0 HRS DURING TRADE, DUTIES: MANAGER. RIVER EDGE LLC, INV. REL, INCLINE VILLAGE, NV, CO-OWNER, PPTY INVT, START 12/29/2017, 1 HR PER MO, 0 HRS DURING TRADE, DUTIES: MANAGER. RYLEXA LLC, INV. REL, INCLINE VILLAGE, NV, CO-OWNER, PPTY INVT, START 12/29/2017, 1 HR PER MO, 0 HRS DURING TRADE, DUTIES: MANAGER. VIRGINIA FLATS LLC, INV. REL, INCLINE VILLAGE, CA, CO-OWNER, PPTY INVT, START 12/29/2017, 1 HR PER MO, 0 HRS DURING TRADE, DUTIES: MANAGER. FIFTY FLATS LLC, INV. REL, INCLINE VILLAGE, NV, CO-OWNER, RENTAL PPTY, START 3/2019, 1 HR PER MO, 0 HRS DURING TRADE, DUTIES: OWNER. CAPITAL CITY FLATS LLC, INVT REL, CARSON CITY, NV, 100% OWNER W/SPOUSE, 10/1/2019, 5 HRS PER MO, 0 HRS DURING TRADE, MONITORING CARSON HEIGHTS LLC, INV REL, CARSON CITY, NV, 100% OWNER W/SPOUSE, 11/01/2019, NUMBER OF HOURS PER MO 1, NO: OF HOURS DURING TRADE 0, MANAGER. SAGE VALLEY PARK LLC, INV REL, INCLINE VILLAGE, CA, 100% OWNER W/SPOUSE,12/1/2019, NO: OF HRS PER MO 1, NO: OF HRS DURING TRADE 0, MANAGER. CANYON FALLS BUSINESS CENTER LLC, INVT REL, INCL VILLAGE, NV, 100% OWN W/SPOUSE, START 12/01/2019, 1HR/MO, 0 HRS DURING TRADE , OWNER. RANCHVIEW LLC, INVT REL, INCLINE VILLAGE, NV, 100% OWN W/SPOUSE, 01/02/2020, NUMBER OF HOURS PER MO 1, 1HR/MO; 0 DURING TRADE, OWNER. HUMBOLDT MARSH LLC, INV REL, INCLINE VILLAGE, NV, 100% OWN W/SPOUSE, START 3/13/2020, 1 HOUR PER MO, ZERO DURING TRADE, HOLDS RENTAL PROPERTY. 13 RENTAL PPTIES; INVT REL; RENO,NV; 100% OWNER W/SPOUSE; START DATE BETWEEN 2/12/2012 AND 3/13/2020; NUMBER OF HOURS PER MO 1; NUMBER OF HOURS DURING TRADE 0; OWNER. PARASOL TAHOE COMMUNITY FOUNDATION, INV REL, INCLINE VILLAGE, NV, INVESTMENT COMMITTEE , START 5/1/2020, 2 HOURS PER MO, ZERO DURING TRADE, ATTENDING MEETINGS, HEARING PERFORMANCE AND RECOMMENDATIONS FROM FINANCIAL ADVISOR AND REVIEWING FOR ADHERENCE TO INVT POLICY. ALERYA, LLC, INVT REL, INCLINE VILLAGE, NV, 100% OWNERSHIP W/SPOUSE, START 11/11/2020, 1 HR PER MO, 0 HRS DURING TRADE, REVIEW. RENTAL PPTY; INVT REL; FALLON,NV; 100% OWNER W/SPOUSE; START 2/26/2021; NUMBER OF HOURS PER MO 1; NUMBER OF HOURS DURING TRADE 0; OWNER. 4 RENTAL PTY'S, INVT RELATED, CARSON CITY, NV, 100% OWN W/ SPOUSE, 10/1/2021, 1 HR PER MO, 0 HRS DURING TRADE, OWNER GENOA FLATS, LLC, INDEPENDENCE FLATS LLC, MARLETTE FLATS, LLC, FREEDOM FLATS, LLC, INV REL, INCLINE VILL, NV, 100% OWN W/SPOUSE, 10/7/2021, 0 HRS A MO, 0 HRS DURING TRAD, OVERSIGHT. MOONSHADOW HOLDINGS LLC, INV REL, INCL VILL, NV, 100% OWNER, START 12/31/21, 1 HR MO, 0 TRADING,FINET. RENTAL PPTY, INVT REL, 50% OWN, START 12/31/21, 1 HR MO, 0 HRS, OWNER. RUBY DOME HOLDINGS LLC, INVT REL, INCLINE VILLAGE,NV. K & J ANDIAMO, LLC; INV RELATED; RENO, NV; ASSETT OWNERSHIP; 50% OWNERSHIP; 06/30/25; 1 HOUR PER MONTH; 0 HRS DURING TRADING HRS ESQUIRE INN, LLC; INV RELATED; RENO, NV; ASSET OWNERSHIP; 50% OWNERSHIP; 07/21/2025; 1 HOUR PER MONTH; 0 HRS DURING TRADING; AMERICAN INN, LLC; INV RELATED; RENO, NV; ASSET OWNERSHIP; 50% OWNERSHIP; 07/21/2025; 1 HOUR PER MONTH; 0 HRS DURING TRADING; WINNIE PARK, LLC ; INV RELATED; RENO, NV; LLC BUSINESS;50% OWNERSHIP; START DATE: 09/22/2025; 1 HRS PER MONTH;
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Anne Petrie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Anne Petrie's 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®
CFP®
Start date: 1988
Experience
Current
May 13, 2022 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 926 Incline Way Suite 250 [satellite], Incline Village, NV 89451RIA
BD
CRD#: 11025
Incline Village, NV
Current
May 13, 2022 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 926 Incline Way Suite 250 [satellite], Incline Village, NV 89451RIA
BD
CRD#: 11025
Incline Village, NV
Past
October 5, 2012 - May 13, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
INCLINE VILLAGE, NV
Past
October 5, 2012 - May 13, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
INCLINE VILLAGE, NV
Past
January 4, 1996 - October 9, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LONG BEACH, CA
Past
March 22, 1984 - October 9, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
LONG BEACH, CA
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(5/13/2022)
RR
Arkansas(5/13/2022)
RR
California(5/13/2022)
IAR
California(5/16/2022)
RR
Colorado(5/13/2022)
RR
Florida(5/13/2022)
RR
Hawaii(5/13/2022)
RR
Idaho(5/13/2022)
RR
Illinois(5/13/2022)
RR
Indiana(5/13/2022)
RR
Kansas(6/3/2025)
RR
Maine(5/13/2022)
RR
Maryland(9/7/2022)
RR
Massachusetts(5/13/2022)
RR
Michigan(5/13/2022)
RR
Minnesota(5/13/2022)
RR
Nevada(5/13/2022)
IAR
Nevada(5/18/2022)
RR
New Hampshire(11/3/2025)
RR
New Jersey(6/16/2025)
RR
New Mexico(5/13/2022)
RR
New York(5/13/2022)
RR
North Carolina(5/13/2022)
RR
Ohio(5/13/2022)
RR
Oregon(5/13/2022)
RR
Pennsylvania(5/13/2022)
RR
South Carolina(5/13/2022)
RR
South Dakota(5/13/2022)
RR
Texas(5/13/2022)
IAR
Texas(5/13/2022)
RR
Utah(5/13/2022)
RR
Virginia(5/13/2022)
RR
Washington(5/13/2022)
RR
Wyoming(5/13/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/3/1990
General Securities Sales Supervisor Examination (Options Module & General Module)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)
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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)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory assets under management
| Total Number of Accounts | 401,726 |
| AUM (Assets Under Management) | $ 197,360,196,619 |
Disclosures
| Regulatory Event | 35 |
| Arbitration | 39 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 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
Managing DirectorCRD#: 11025Incline Village, NV 89451TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
