JW
Janice Way
WELLS FARGO INVESTMENT INSTITUTE
Saint Louis, MO 63103
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CRD#: 2430861
JW
Professional summary
Janice Way, who also goes by Janice L Way, Janice Lee Way, is a registered financial advisor currently at WELLS FARGO INVESTMENT INSTITUTE, INC. located in Saint Louis, Missouri.
Janice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Janice has worked at 4 firms and has passed the Series 66, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Janice L Way | Janice Lee Way
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.
POWER OF ATTORNEY FOR MOTHER; INV. RELATED; SAINT LOUIS, MO; START DATE 4/2018. RENTAL PROPERTY; INV. RELATED; ST. LOUIS,MO; 100% OWNERSHIP; START DATE 09/07/2022; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; OWNER.
CRS (Client Relationship Summary) - RIA
Click below to view Janice Way'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 15, 2024 - Present
WELLS FARGO INVESTMENT INSTITUTE, INC.
Office #1: 2801 Market St, F & L Bldg, Saint Louis, MO 63103RIA
CRD#: 133204
Saint Louis, MO
Past
November 20, 2018 - January 26, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ST. LOUIS, MO
Past
November 20, 2018 - January 26, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
February 4, 2014 - January 26, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
May 12, 2010 - January 26, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 1, 2008 - January 22, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 11, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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 INVESTMENT INSTITUTE, INC.
A.G. EDWARDS CAPITAL, INC. (RELYING ADVISER) | WELLS FARGO INVESTMENT INSTITUTE, INC. | WACHOVIA ALTERNATIVE STRATEGIES, INC. | SOCIAL IMPACT INVESTING TEAM | OPTION STRATEGIES GROUP | GLOBAL SECURITIES RESEARCH | GLOBAL PORTFOLIO MANAGEMENT | GLOBAL MANAGER RESEARCH | GLOBAL INVESTMENT STRATEGY | GLOBAL ASSET ALLOCATION | GLOBAL ALTERNATIVE INVESTMENTS | FIXED INCOME STRATEGIES TEAM | EVERGREEN INVESTMENTS | EVERGREEN FPS, INC. | EVERGREEN ALTERNATIVE STRATEGIES, INC. | EQUITY OPTIMIZATION | ALTERNATIVE STRATEGIES GROUP, INC.
CRD#: 133204 / SEC#: 801-64191
RIA
Registered Investment Advisory firm - (5/13/2005 Approved)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.Highlighted states indicate IAR registrations
IAR
Missouri(5/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WF
WELLS FARGO INVESTMENT INSTITUTE, INC.
A.G. EDWARDS CAPITAL, INC. (RELYING ADVISER) | WELLS FARGO INVESTMENT INSTITUTE, INC. | WACHOVIA ALTERNATIVE STRATEGIES, INC. | SOCIAL IMPACT INVESTING TEAM | OPTION STRATEGIES GROUP | GLOBAL SECURITIES RESEARCH | GLOBAL PORTFOLIO MANAGEMENT | GLOBAL MANAGER RESEARCH | GLOBAL INVESTMENT STRATEGY | GLOBAL ASSET ALLOCATION | GLOBAL ALTERNATIVE INVESTMENTS | FIXED INCOME STRATEGIES TEAM | EVERGREEN INVESTMENTS | EVERGREEN FPS, INC. | EVERGREEN ALTERNATIVE STRATEGIES, INC. | EQUITY OPTIMIZATION | ALTERNATIVE STRATEGIES GROUP, INC.
CRD#: 133204 / SEC#: 801-64191
RIA
Registered Investment Advisory firm - (5/13/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
550 South Tryon Street 40th Floor, Charlotte, NC 28202
Mailing Address
Phone number
(314) 354-5814
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,594 |
| AUM (Assets Under Management) | $ 40,817,738,378 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/13/2023 | ||
| 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.
