Spencer Sullivan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Spencer Sullivan was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 2023. Spencer had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2023 - February 10, 2025
WELLS FARGO INVESTMENT INSTITUTE, INC.
Primary Firm SEC Registration
WELLS FARGO INVESTMENT INSTITUTE, INC.
CRD#: 133204 / SEC#: 801-64191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
WELLS FARGO INVESTMENT INSTITUTE, INC.
CRD#: 133204 / SEC#: 801-64191
Contact information
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.
