Wells Fargo Advisors

Firm Profile

Wells Fargo Advisors Facts at a Glance (as of June 30, 2016)

Executive Summary
Wells Fargo Advisors provides investment advice and guidance to clients through 15,042 Financial Advisors and referrals from 3,900 Licensed Bankers in retail stores across the U.S. Wells Fargo Advisors administers $1.5 trillion in client assets.

Areas of Distinction

• Unique structure and scale that combine the capabilities
and best practices available through a large, national firm with a client focus more typical of smaller firms
• Dedicated to Financial Advisors and their relationships with clients
• Unprecedented choice and flexibility for Financial Advisors and their clients through distinct business channels supported by established products, services, and technology

Multichannel Business Model
10,066 Financial Advisors work in the traditional brokerage channel of Wells Fargo Advisors, LLC, with branch offices located in all 50 states and the District of Columbia. In addition, the firm’s in-bank brokerage channel includes 3,446
Financial Advisors and 3,900 Licensed Bankers located in Wells Fargo bank stores. Licensed Bankers are employees of Wells Fargo Bank, N.A., and also registered representatives of Wells Fargo Advisors, LLC. The firm’s Independent Brokerage
Group includes Wells Fargo Advisors Financial Network, the firm’s independent representative arm, and First Clearing
Correspondent Services, which provides operational, clearing, and consultative services to thousands of financial
professionals across the U.S.

Kelley Hartman (314) 875-2928, kelley.hartman@wfadvisors.com

Laura Kirkover (314) 875-2933, laura.kirkover@wfadvisors.com


Micro < $1 million
Small $1 million – $10 million
Mid $10 million – $100 million

• Retirement Sales Desk Reps
• 3rd Party Investment Analysis Tool
• Benchmarking Tools
• Allows Fiduciary Declaration 3(21)
• 408(b)(2) – in-house
• Plan feature review/plan design consulting
• Consulting on SMAs
• Plan sponsor fi duciary training

15 Home Office Employees Supporting th Retirement Business