Samuel
Tapia

Wells Fargo Clearing Services, LLC

CRD#3265060
Investment Advisor
in Carlsbad, CA
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About this Advisor

Samuel Tapia is a financial advisor whose office is in Carlsbad, California. Currently a registered investment advisor with Wells Fargo Clearing Services, LLC, Tapia has 11 years of professional experience in the financial advisory industry. Tapia maintains Series 63 and Series 65 licenses, which designate them as both a securities agent and an investment advisor representative. Tapia can operate based out of California and Texas. The advisor has gained experience at Morgan Stanley & Co., Inc, Morgan Stanley Smith Barney, Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is headquartered in Carlsbad, California, and operates out of 6,557 brick-and-mortar locations in the nation. As a company, Wells Fargo Clearing Services, LLC oversees $473 billion in assets throughout 1,432,715 accounts and employs more than 26,409 people. The amount of assets the firm manages places it among the biggest financial advisory firms in the nation. The firm manages 1,046,418 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. Currently 39% of the firm's investors are high-net-worth individuals, meaning they have over $1 million in investable assets. Wells Fargo Clearing Services, LLC offers 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. The firm's fees may include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

11 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

Samuel Tapia Work History

Samuel has 11 years of experience.

2016 - Present (3 years)

Wells Fargo Clearing Services, LLC

2010 - 2016 (6 years)

Wells Fargo Advisors LLC

2009 - 2010 (1 year)

Morgan Stanley Smith Barney

2007 - 2010 (3 years)

Morgan Stanley & Co., Inc

Disclosures

Samuel Tapia has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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