Alan
Shapiro

Wells Fargo Clearing Services, LLC

CRD#4732772
Investment Advisor
in Carlsbad, CA
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About this Advisor

Alan Shapiro is a certified financial planner who works out of Carlsbad, California, who has been in the financial industry for 10 years. Shapiro is on the advisory team at Wells Fargo Clearing Services, LLC. Throughout their career, they have worked at Morgan Stanley, Morgan Stanley Smith Barney, Morgan Stanley Private Bank, National Association, Wells Fargo Advisors, LLC and Wells Fargo Clearing Services, LLC. Shapiro has Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and is registered to serve investors in California and Texas. Wells Fargo Clearing Services, LLC is a business that has its headquarters in Carlsbad, California. The company has offices in 6,557 locations and a total of 26,409 financial advisors. It controls $473 billion in total assets among its 1,432,715 client accounts, making it one of the biggest firms in the nation by assets under management. The firm serves 6,248 charitable organizations. Of its 1,432,715 customer accounts, 39% belong to high-net-worth investors who have greater than $1 million in assets available to invest. The firm provides a number of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. Financial advisory fees usually vary depending on the type of financial services offered. However, fee types charged by Wells Fargo Clearing Services, LLC likely include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

5800 Armada Dr Ste 300
Carlsbad, CA 92008

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Wells Fargo Clearing Services, LLC Brokerage Details

Total Assets Under Management

$433,195,677,454

CA Average: $11,469,110,461
Total Number of Employees

26,352

CA Average: 458
Total Number of Accounts

1,434,106

CA Average: 33,415
Average Account Size

$302,067

CA Average: $343,232

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Other

Alan Shapiro Work History

Alan has 10 years of experience.

2016 - Present (3 years)

Wells Fargo Clearing Services, LLC

2015 - 2015 (< 1 year)

Morgan Stanley Private Bank, National Association

2015 - 2016 (1 year)

Wells Fargo Advisors, LLC

2009 - 2015 (6 years)

Morgan Stanley Smith Barney

2008 - 2015 (7 years)

Morgan Stanley

Disclosures

Alan Shapiro has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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