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

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JB

Joseph E. Buffa

WELLS FARGO INVESTMENT INSTITUTE
SAINT LOUIS, MO 63103
Some features on this profile are disabled
CRD#: 4785741
JB

Professional summary

Joseph E Buffa is a registered financial advisor currently at WELLS FARGO INVESTMENT INSTITUTE, INC. located in Saint Louis, Missouri.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 86 and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph E Buffa'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

February 27, 2023 - Present

WELLS FARGO INVESTMENT INSTITUTE, INC.

Office #1: 1 N Jefferson Ave 7th Floor, Saint Louis, MO 63103
RIA
CRD#: 133204
SAINT LOUIS, MO
Past

July 19, 2010 - October 5, 2011

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

June 4, 2010 - January 6, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

December 14, 2009 - January 26, 2023

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
ST. LOUIS, MO
Past

October 6, 2009 - January 26, 2023

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

April 27, 2009 - January 26, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ST. LOUIS, MO
Past

December 17, 2008 - January 26, 2023

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 9, 2005 - October 27, 2005

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
(2/27/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/30/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/15/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 4/16/2009
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 4/15/2009
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 12/16/2008
General Securities Representative Examination

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
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
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)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EQUITY OPTIMIZATION, FIXED INCOME STRATEGIES TEAM, OPTION STRATEGIES GROUP (7/1/2025)
FORM ADV PART 2A - GMR GIS GPM GSR GAA (7/1/2025)

Regulatory assets under management

Total Number of Accounts14,594
AUM (Assets Under Management)$ 40,817,738,378

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/24/2025
Cover Page
Report
12/13/2023
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.

Company Information

WELLS FARGO INVESTMENT INSTITUTE, INC.

CRD#: 133204Saint Louis, MO 63103

TRUST BUT VERIFY

Monitor Joseph Buffa

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

Similar Advisors

Aaron Andrew Ungerer
Aaron UngererAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Frontenac, MO
Dalton J Stockton
Dalton StocktonAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
ST. LOUIS, MO
George Joseph Simon JR
George SimonAdvisorCheck Check Mark
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
IAR
RR
Chesterfield, MO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
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