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Archana Gupta

Wells Fargo Clearing Services, LLC

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About Archana Gupta

Archana Gupta is a financial advisor with Wells Fargo Clearing Services, LLC based in Duluth, GA. Archana has been in the industry since 2012. Archana is registered with FINRA and the states of Alabama, Florida, Georgia, North Carolina, South Carolina, Tennessee, Texas, and Washington. Archana has a strong background in financial services, having worked with a number of firms including Morgan Stanley, E*TRADE Securities LLC, J.P. Morgan Securities LLC, and PNC Investments. Archana is committed to providing her clients with personalized financial advice and guidance.

Firm Information

Archana Gupta is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Archana Gupta’s Registration & Firm History

GA

10/17/2024 - Present

Wells Fargo Clearing Services, LLC (DULUTH GA)

GA

03/13/2023 - 08/11/2023

MORGAN STANLEY (Alpharetta GA)

GA

07/21/2020 - 08/11/2023

E*TRADE SECURITIES LLC (ALPHARETTA GA)

GA

07/21/2016 - 07/26/2018

J.P. MORGAN SECURITIES LLC (ROSWELL GA)

MI

12/14/2010 - 06/01/2012

PNC INVESTMENTS (LANSING MI)

TX

05/17/2007 - 12/17/2009

CITIGROUP GLOBAL MARKETS INC. (SAN ANTONIO TX)

TX

05/09/2006 - 04/30/2007

USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)

MN

02/15/2005 - 04/11/2006

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

02/15/2005 - 04/11/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 10/04/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/02/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/21/2020

Series 7TO - General Securities Representative Examination

BC

Issued 07/26/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 02/14/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Archana Gupta. Review regulatory record here.
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