Joseph
Buffa
Wells Fargo Investment Institute, Inc
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About this Advisor
Joseph Buffa is a financial advisor operating out of Saint Louis, Missouri. Buffa is currently employed by Wells Fargo Investment Institute, Inc. Their career trajectory has included roles at Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network LLC, Wells Fargo Clearing Services, LLC and Wells Fargo Investment Institute, Inc. Buffa has Series 63 and Series 66 licenses, designating them as a securities agent, and is approved to advise clients in Missouri. Wells Fargo Investment Institute, Inc is a firm based out of Charlotte, NC. The company has offices in 38 locations and a total of 264 advisors. It handles $38 billion in assets among its 24,240 accounts, making it one of the biggest financial advisory firms in the United States by assets under management. The firm advises 289 charitable organizations. Of its 24,240 accounts, 94% belong to high-net-worth investors who have at least $1 million in investable assets. The business has a number of services, including portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and publication of newsletters. Fees for financial advice typically depend on which services are offered. Fee types charged by Wells Fargo Investment Institute, Inc can consist of any blend of asset-based and fixed fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Wells Fargo Investment Institute, Inc Brokerage Details
$38,123,578,794
264
24,240
$1,572,755
Investment Advisory Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses or institutional clients
- Selection of other advisers
- Publication of periodicals or newsletters
Joseph Buffa Work History
Joseph has been registered as a financial advisor for 0 years.*
Wells Fargo Investment Institute, Inc
Wells Fargo Clearing Services, LLC
Wells Fargo Advisors, LLC
Wells Fargo Advisors Financial Network LLC
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of Joseph Buffa to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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