DB
Dennis P. Barba
WELLS FARGO ADVISORS FINANCIAL NETWORK
Williamsville, NY 14221
Some features on this profile are disabled
CRD#: 1852387
DB
Professional summary
Dennis Peter Barba JR is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Williamsville, New York.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Dennis has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
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.
OXFORD HARRIMAN COMPANY LLC; INV RELATED; BEACHWOOD, OH; OWNER; LLC FOR FINET PRACTICE; START 5/2015; 200 HRS PER MONTH; 8 HRS DURING TRADING; DUTIES: PRESIDENT & MANAGING PARTNER.| CS HOOPS; NOT INV RELATED; SARASOTA, FL; 100% OWNERSHIP; START 1/26/2022; NUMBER OF HOURS PER MONTH 20; NUMBER OF HOURS DURING TRADING 0; SCOUTING HIGH SCHOOL BASKETBALL PLAYERS.| OXFORD HOLDINGS LLC, INV RELATED, BEACHWOOD, OH, 80.1% OWNERSHIP, START 10/1/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, HOLD COMPANY FOR FINET PRACTICE.| OXFORD HARRIMAN & COMPANY AM LLC, INV RELATED, BEACHWOOD, OH, 100% OWNERSHIP, START 10/4/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, HOLDING COMPANY FOR FINET PRACTICE.| OXFORD HARRIMAN LEGACY LLC, INV RELATED, BEACHWOOD, OH, 100% OWNERSHIP, START 10/27/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, PASS THROUGH HOLDING COMPANY FOR FINET PRACTICE.| OXFORD HARRIMAN & COMPANY PAPP LLC, INV RELATED, BEACHWOOD, OH, 66.67% OWNERSHIP, START 11/1/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, PASS THROUGH HOLDING COMPANY FOR FINET PRACTICE.| LONDON OXFORD TAX SERVICE, NOT INV RELATED, CLEVELAND, OH, 50% OWNERSHIP, START 12/1/2022, 10 HRS PER MONTH, 4 HRS DURING TRADING, TAX PREP BUSINESS.| DIG ENTERPRISES LLC, INV RELATED, BEACHWOOD, OH, 10% OWNERSHIP VIA OXFORD HARRIMAN & COMPANY PAPP LLC, START 11/3/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.| CSGB HOLDINGS LLC; INV RELATED; CHAGRIN FALLS, OH; 100% OWNERSHIP; START 11/08/2023; 0 HOURS PER MONTH; 0 HOURS DURING TRADING; HOLDINGS FOR BASKETBALL TEAM OWNERSHIP.| IRAKLIS HOLDINGS LLC, NOT INV RELATED, BROADVIEW HEIGHTS, OH, 8% OWNERSHIP, START 12/1/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, OWNERSHIP OF BASKETBALL TEAM VIA CSGB HOLDINGS LLC.| T & A ADVISORS HOLDINGS LLC, INV RELATED, NORTHVALE, NJ, 10% OWNERSHIP VIA OXFORD HARRIMAN & COMPANY PAPP LLC, START 12/15/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING SUCCSESSION PLANNING FOR PRACTICE.| MASER DE LLC, INV RELATED, BEACHWOOD, OH, 10% OWNERSHIP VIA OXFORD HARRIMAN & COMPANY PAPP LLC, START 12/15/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING SUCCSESSION PLANNING FOR PRACTICE.| DMICS HOLDINGS LLC, INV RELATED, BEACHWOOD, OH, 10% OWNERSHIP VIA OXFORD HARRIMAN & COMPANY PAPP LLC, START 12/15/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING SUCCSESSION PLANNING FOR PRACTICE.| BERGER INVESTMENT HOLDINGS LLC, INV RELATED, BEACHWOOD, OH, 10% OWNERSHIP VIA OXFORD HARRIMAN & COMPANY PAPP LLC, START 12/15/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING SUCCSESSION PLANNING FOR PRACTICE.| WILLOUGHBY VENTURES LLC, INV RELATED, BEACHWOOD, OH, 10% OWNERSHIP VIA OXFORD HARRI\MAN & COMPANY PAPP LLC, START 12/15/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING SUCCSESSION PLANNING FOR PRACTICE.| PRINCETON HARRIMAN INSURANCE SOLUTIONS, LLC, INVT RELATED, SARASOTA, FL, 100% OWNERSHIP, START DATE 9/23/2024, 15 HRS PER MONTH, 10 HRS DURING TRADING, INSURANCE PRACTICE.| OXFORD HARRISMAN AND COMPANY PAPP, LLC; INV RELATED; WILTON, CT; MERCHANT CASH AGREEMENT; 66.66% OWNERSHIP; START DATE 06/20/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING HOURS OXFORD HARRIMAN HOLDINGS, ADV, LLC ; INV RELATED; SARASOTA, FL; REGISTERED INVESTMENT ADVISOR;80.1% OWNERSHIP; START DATE: 10/01/2025; 15 HRS PER MONTH; 15 HRS DURING TRADING;| OXFORD HARRIMAN HOLDING, TECHNOLOGY, LLC; INV RELATED; SARASOTA, FL; ADVISOR TECHNOLOGY;80.1% OWNERSHIP; START DATE: 10/01/2025; 10 HRS PER MONTH; 10 HRS DURING TRADING;|
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Peter Barba JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Peter Barba JR'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®
NoneExperience
Current
May 1, 2015 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 6779 Main Street [satellite], Williamsville, NY 14221Office #2: 11815 Fountain Way Suite 300 [satellite], Newport New, VA 23606Office #3: 12010 Mayfield Road [office Of Convenience], Cleveland, OH 44106Office #4: 1962 Main Street Ste 300 [office Of Convenience], Sarasota, FL 34236Office #6: 3201 Enterprise Pkwy Suite 400 [satellite], Beachwood, OH 44122Office #7: 555 Second Avenue Suite D-300, Collegeville, PA 19426Office #9: 33 River Street [satellite], Chargin Falls, OH 44022Office #10: 230 Park Avenue 3rd Fl [satellite], New York, NY, 10169Office #11: 50 Tice Blvd, Ste 340 [satellite], Woodcliff Lake, NJ 07677Office #12: 2408 32nd St [satellite], Astoria, NY 11105Office #13: 159 Crocker Park Blvd Suite 300 [satellite], Westlake, OH 44145RIA
BD
CRD#: 11025
Williamsville, NY
Current
May 1, 2015 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 6779 Main Street [satellite], Williamsville, NY 14221Office #2: 11815 Fountain Way Suite 300 [satellite], Newport New, VA 23606Office #3: 12010 Mayfield Road [office Of Convenience], Cleveland, OH 44106Office #4: 1962 Main Street Ste 300 [office Of Convenience], Sarasota, FL 34236Office #5: 3201 Enterprise Pkwy Suite 400 [satellite], Beachwood, OH 44122Office #6: 555 Second Avenue Suite D-300, Collegeville, PA 19426Office #8: 33 River Street [satellite], Chargin Falls, OH 44022Office #9: 230 Park Avenue 3rd Fl [satellite], New York, NY, 10169Office #10: 50 Tice Blvd, Ste 340 [satellite], Woodcliff Lake, NJ 07677Office #11: 2408 32nd St [satellite], Astoria, NY 11105Office #12: 159 Crocker Park Blvd Suite 300 [satellite], Westlake, OH 44145RIA
BD
CRD#: 11025
Williamsville, NY
Past
January 23, 2009 - May 11, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PEPPER PIKE, OH
Past
January 23, 2009 - May 11, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PEPPER PIKE, OH
Past
January 6, 2004 - January 28, 2009
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
BEACHWOOD, OH
Past
January 2, 2004 - January 28, 2009
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
BEACHWOOD, OH
Past
November 10, 1999 - January 26, 2004
ADVEST, INC.
RIA
CRD#: 10
BEACHWOOD, OH
Past
April 16, 1999 - January 26, 2004
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
November 16, 1995 - April 21, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 20, 1994 - November 22, 1995
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
July 17, 1991 - April 19, 1994
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
December 14, 1990 - July 17, 1991
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
February 15, 1990 - December 18, 1990
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 26, 1988 - March 1, 1990
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
July 11, 1988 - September 19, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
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
Alabama(12/6/2017)
RR
Alaska(3/13/2024)
RR
Arizona(5/1/2015)
RR
Arkansas(3/5/2019)
RR
California(5/4/2015)
RR
Colorado(12/6/2017)
RR
Connecticut(9/24/2018)
RR
Delaware(9/24/2018)
RR
District of Columbia(5/1/2015)
RR
Florida(5/1/2015)
IAR
Florida(7/19/2016)
RR
Georgia(11/22/2017)
RR
Hawaii(8/23/2019)
RR
Idaho(4/17/2023)
RR
Illinois(12/6/2017)
RR
Indiana(5/18/2015)
RR
Iowa(12/6/2017)
RR
Kansas(11/6/2019)
RR
Kentucky(9/24/2018)
RR
Louisiana(12/6/2017)
RR
Maine(3/5/2019)
RR
Maryland(12/6/2017)
RR
Massachusetts(12/6/2017)
RR
Michigan(5/1/2015)
IAR
Michigan(5/3/2019)
RR
Minnesota(5/12/2015)
RR
Mississippi(10/19/2020)
RR
Missouri(10/24/2018)
RR
Montana(5/1/2015)
RR
Nebraska(6/30/2021)
RR
Nevada(9/24/2018)
RR
New Hampshire(12/6/2017)
RR
New Jersey(11/29/2017)
IAR
New Jersey(10/1/2018)
RR
New Mexico(5/1/2015)
RR
New York(5/1/2015)
IAR
New York(7/27/2021)
RR
North Carolina(5/1/2015)
RR
North Dakota(2/22/2024)
RR
Ohio(5/1/2015)
IAR
Ohio(5/1/2015)
RR
Oklahoma(3/5/2019)
RR
Oregon(5/1/2015)
RR
Pennsylvania(10/7/2015)
IAR
Pennsylvania(5/24/2022)
RR
Rhode Island(11/17/2022)
RR
South Carolina(5/1/2015)
RR
Tennessee(5/1/2015)
RR
Texas(5/1/2015)
IAR
Texas(5/1/2015)
RR
Utah(7/29/2020)
RR
Vermont(7/27/2021)
RR
Virginia(7/2/2015)
IAR
Virginia(4/5/2023)
RR
Washington(5/1/2015)
RR
West Virginia(5/1/2015)
RR
Wisconsin(5/1/2015)
RR
Wyoming(1/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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
CRD#: 11025Williamsville, NY 14221TRUST BUT VERIFY
Monitor Dennis Barba
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
