Joseph
Puglia

Wells Fargo Clearing Services, LLC

CRD#4864406
Investment Advisor
in New York, NY
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About this Advisor

Joseph Puglia is a certified financial planner operating out of New York, New York, who has been in the industry for 10 years. Puglia works at Wells Fargo Clearing Services, LLC. Throughout their career, they have worked at Wachovia Securities, LLC, Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC. Puglia maintains a Series 66 license, which qualifies them as both a securities agent and an investment advisor representative, and is able to serve investors in Texas. Wells Fargo Clearing Services, LLC is a financial advisory business operating in New York, New York. The investment advisory business has offices in 6,557 locations and a total of 26,409 financial advisors. It administers $473 billion in assets under management between its 1,432,715 accounts, making it one of the biggest financial advisory firms in the United States by assets under management. The firm provides financial advice to 6,248 charitable organizations. Of its 1,432,715 accounts, 39% are associated with high-net-worth individuals who have more than $1 million in investable assets. The company 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. Fees charged by financial advisors typically vary depending on which services the firm provides the client. However, fee types charged by Wells Fargo Clearing Services, LLC may include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 66, 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

280 Park Ave 27Th and 29Th Fls
New York, NY 10017

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Wells Fargo Clearing Services, LLC Brokerage Details

Total Assets Under Management

$433,195,677,454

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

26,352

NY Average: 458
Total Number of Accounts

1,434,106

NY Average: 33,415
Average Account Size

$302,067

NY 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

Joseph Puglia Work History

Joseph has 10 years of experience.

2016 - Present (3 years)

Wells Fargo Clearing Services, LLC

2009 - 2016 (7 years)

Wells Fargo Advisors LLC

2008 - 2009 (1 years)

Wachovia Securities, LLC

Disclosures

Joseph Puglia has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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