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Wells Fargo Advisors continues to see a decline in brokers

July 13, 2018

Wells Fargo Advisors continues to see a decline in the number of brokers and advisers working at the firm's various channels, reporting on Friday morning a net loss of 173 registered reps — or 1.2% of its total adviser sales force — during...

Wells Fargo team managing $177 million joins Janney

July 9, 2018

A two-broker team managing $177 million at Wells Fargo Advisors in Franklin, Tenn., has joined Janney Montgomery Scott. The team members, Bradley S. Dickens and Jason Minor, are long-time Wells Fargo advisers. Mr. Dickens began his securities...

Wells Fargo loses $450 million hybrid to LPL

June 28, 2018

Rockline Wealth Management, a hybrid firm that managed $415 million when its principals were affiliated with Wells Fargo Advisors, has affiliated with LPL and will use the firm's corporate registered investment advisor platform. Rockline, which...

Wells Fargo Advisors fined $4 million over complex product sales

June 25, 2018

The Securities and Exchange Commission on Monday said it had fined Wells Fargo Advisors $4 million and ordered the firm to pay $1.1 million in restitution stemming from the sale of complex products called market-linked investments to retail...

Wells Fargo memo raises questions about commitment to broker protocol

June 25, 2018

A Wells Fargo Advisors memo Monday morning about client privacy policies sent a spasm of confusion across the network of 14,399 brokers and advisers, with one side saying that the memo undermined the firm's commitment to the protocol for broker...

An alternative take on alternatives

July 1, 2013

Not just adding a slice but rethinking the whole pie, a new white paper from Wells Fargo Funds Management.

Wells Fargo weighs changes to wealth unit

June 19, 2018

Wells Fargo & Co. is considering restructuring its wealth management business as the bank pushes for $4 billion in cost cuts by the end of next year. "Our wealth and investment-management group is reimagining our business to become more efficient,"...

Wells Fargo team managing $150 million moves to Snowden Lane

June 22, 2018

A seven-person team managing $150 million at Wells Fargo in San Antonio, Texas, has formed a hybrid firm and affiliated with New York-based Snowden Lane Partners. Led by Mark Hogan, Leah Eller, Pam Appleby and Josh Hogan, the Hogan Eller Wealth...

Independence simplified

October 16, 2015

Wells Fargo Advisors Financial Network (FiNet) simplifies independence for successful Financial Advisors through partnerships in order to help create an extraordinary business, life, and legacy.

Veteran Wells Fargo adviser heads to RBC

June 7, 2018

James M. Aid has left Wells Fargo Advisors, where he managed $86 million in assets, to join RBC Wealth Management Financial Advisors in its new Nashville office. Mr. Aid is the latest in a string of employees leaving Wells Fargo. Mr. Aid is...

Wells Fargo duo managing $336 million moves to Raymond James

June 13, 2018

Thomas Monroe and John McDermott, who managed $336 million in assets at Wells Fargo Advisors, have moved to the employee unit of Raymond James in West Hartford, Conn. Moving with them is Wendy Petrovits, their client service associate. ​ Mr....

Wells Fargo advisers managing $760 million switch to Raymond James

June 11, 2018

A three-man adviser team managing $500 million at Wells Fargo Advisors and a solo adviser managing $260 million at Wells have joined the employee unit of Raymond James in Michigan. Craig Cooley, Lee Miller and Michael Wegener, operating as Water...

Wells Fargo loses $186 million team to Kestra

May 24, 2018

A four-person advisory team managing $186 million at Wells Fargo has gone independent and affiliated with Kestra Financial. Based in St. Louis, Mo., Undivided Wealth Management is led by Gary Baker and includes Dan Kraus, Kim Rubenstein and...

Wells Fargo loses veteran $500 million team to SunTrust

May 30, 2018

A four-person team managing $500 million at Wells Fargo in Charleston, S.C., has moved to SunTrust Private Wealth Management. The team is led by Wells Fargo veterans Jeff Pratt and Bryan Kazley, who were with the firm and its predecessor companies...

BlackRock, Wells Fargo reportedly preparing ESG funds for 401(k) plans

June 13, 2018

Doing good and saving for retirement may soon get easier. BlackRock Inc. and Wells Fargo & Co. are developing their first-ever ESG funds for retirement savings plans, seeking to tap into growing demand for ethical investing. Both firms plan...

Veteran Wells Fargo team managing $505 million leaves for Raymond James

May 31, 2018

Mark Griffin and Mark Liley, who managed $505 million at Wells Fargo Advisors in Denver, Colo., have moved to the employee unit of Raymond James. The two join Robert Campbell and Jarrod Biebel, who left Wells Fargo for Raymond James in 2016....

Wells Fargo sees slowdown in advisers exiting this year

May 17, 2018

Wells Fargo Advisors has slowed the bleeding of its financial advisers that began after September 2016. That's when Wells Fargo & Co. revealed a scandal in its retail banking that resulted in the company being fined $185 million for opening...

Wells Fargo loses two teams managing $780 million to Baird

May 23, 2018

Two teams managing a combined $780 million have left the Ann Arbor, Mich., office of Wells Fargo to join Baird. Karla Olson-Bellfi, Thai-Vi Pham and associate adviser Omer Bellfi managed $475 million at Wells Fargo. John Mathey and Dan Mirabella...

Wells Fargo loses $157 million rep to Janney

May 1, 2018

Matthew Loitz, who managed $157 million at Wells Fargo Advisors, has joined the Glastonbury, Conn., office of Janney Montgomery Scott. Mr. Loitz, who joined Wells Fargo in 2005, began his securities career at Hartford Equity Sales in 1995. He...

Wells Fargo struggles to attract 401(k) business in wake of banking scandals

May 15, 2018

Wells Fargo & Co.'s retirement plan business has suffered following a string of negative stories related to operations within some units of the broader company, according to 401(k) advisers who use Wells Fargo products and who have had conversations...

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