Benjamin D. Spiker

WELLS FARGO ADVISORS FINANCIAL NETWORK

Annapolis, MD 21401

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CRD#: 2998105

Professional summary

Benjamin David Spiker, CFP® is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Annapolis, Maryland.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Benjamin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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.

BWIBZN, LLC, INV RELATED,SEVERNA PARK, MD, 50% OWNER, START 4/2017, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: NONE.| BZN BWI LLC; INV RELATED; BOZEMAN, MT; 40% OWNERSHIP; CO-OWNER OF OFFICE SPACE FOR BOZEMAN LOCATION; START 10/2018; 0 HRS PER MONTH.| BRITTANY GRACE, LLC, INV RELATED, SEVERNA PARK, MD, 100% OWNERSHIP WITH SPOUSE, START 11/10/2021, 0.5 HRS PER MONTH, 0 HRS DURING TRADING, FOR RENTAL PROPERTY.| CANNERY CORNER LLP, INV RELATED, BOZEMAN, MT, 25% OWNERSHIP, START 8/1/2022, 160 HOURS PER MONTH, 160 HOURS DURING TRADING, HOLDS PRACTICE BUILDING.| STSMI LLC DBA SHORE TO SUMMIT WEALTH MANAGEMENT, INV RELATED, MERRITT ISLAND, FL, 33.33% OWNERSHIP, START 3/15/2023, 10 HOURS PER MONTH, 5 HOURS DURING TRADING, FINET PRACTICE.| SHORE TO SUMMIT GROWTH ENTERPRISES, LLC; INV RELATED; BELGRADE; MT; 40% OWNERSHIP; START: 10/09/2024; 1 HOUR A MONTH; 0 HOURS DURING TRADING; FINET PRACTICE LLC.| STSWM LEGACY PARTNERS, LLC, INVT RELATED, BOZEMAN, MT, 32.05% OWNERSHIP, START DATE 11/18/2024, 1 HR PER MONTH AND DURING TRADING, MERCHANT AGREEMENT.| STSWM HOLDINGS, LLC, INVT RELATED, BOZEMAN, MT, 32.05% OWNERSHIP, START DATE 11/18/2024, 1 HR PER MONTH AND DURING TRADING, MERCHANT AGREEMENT.| SHORE TO SUMMIT GROWTH PARTNERS, LLC; INV RELATED; BOZEMAN, MT; 24% OWNERSHIP; START DATE 05/30/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING; MERCHANG CASH AND STOCK AGREEMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin David Spiker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Benjamin David Spiker'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

September 22, 2017 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #1: 180 Admiral Cochrane Drive Suite 210 [satellite], Annapolis, MD 21401

RIA

CRD#: 11025

Annapolis, MD

Current

September 22, 2017 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #1: 180 Admiral Cochrane Drive Suite 210 [satellite], Annapolis, MD 21401

RIA

CRD#: 11025

Annapolis, MD

Past

January 13, 2006 - September 26, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ANNAPOLIS, MD

Past

January 13, 2006 - September 26, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ANNAPOLIS, MD

Past

January 1, 2002 - February 1, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BALTIMORE, MD

Past

December 18, 2001 - February 1, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BALTIMORE, MD

Past

April 14, 1999 - December 17, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

October 15, 1998 - April 9, 1999

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

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

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

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.

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

Alabama
(6/15/2018)

Alaska
(1/26/2021)

Arizona
(9/22/2017)

Arkansas
(9/22/2017)

California
(9/22/2017)

Colorado
(9/22/2017)

Connecticut
(9/22/2017)

Delaware
(9/22/2017)

District of Columbia
(9/22/2017)

Florida
(9/22/2017)

Georgia
(9/26/2017)

Hawaii
(1/26/2021)

Idaho
(1/26/2021)

Illinois
(9/25/2017)

Indiana
(9/22/2017)

Iowa
(9/22/2017)

Kansas
(1/26/2021)

Kentucky
(4/14/2023)

Louisiana
(9/22/2017)

Maine
(3/15/2022)

Maryland
(9/22/2017)

IAR

Maryland
(9/22/2017)

Massachusetts
(9/22/2017)

Michigan
(9/22/2017)

Minnesota
(10/3/2017)

Mississippi
(9/22/2017)

Missouri
(9/22/2017)

Montana
(9/22/2017)

Nevada
(9/22/2017)

New Hampshire
(9/25/2017)

New Jersey
(9/22/2017)

New Mexico
(1/26/2021)

New York
(9/22/2017)

North Carolina
(9/22/2017)

Ohio
(9/22/2017)

Oregon
(9/22/2017)

Pennsylvania
(9/22/2017)

Rhode Island
(11/1/2024)

South Carolina
(9/22/2017)

South Dakota
(10/8/2020)

Tennessee
(9/22/2017)

Texas
(9/22/2017)

IAR

Texas
(9/22/2017)

Utah
(9/22/2017)

Vermont
(4/14/2023)

Virginia
(9/22/2017)

Washington
(9/22/2017)

West Virginia
(9/22/2017)

Wisconsin
(9/22/2017)

Wyoming
(7/24/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/13/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/12/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

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

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

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

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)

WFAFN - PART 2A - RETIREMENT PLAN CONSULTING (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFAFN - PART 2A - INSTITUTIONAL CONSULTING (8/4/2025)

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	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Benjamin D. Spiker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin David Spiker's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Benjamin David Spiker's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

OSAIC WEALTH, INC.

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/1999

Series 63

Date: 1/19/1999

SIE

Date: 10/1/2018

Series 31

Date: 2/13/2004

Series 7

Date: 10/12/1998

Series 24

Date: 11/1/2017

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

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