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Barbara Vargas

Wells Fargo Clearing Services, LLC

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About Barbara Vargas

Barbara Vargas is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Barbara has been in the financial industry since 1999 and has experience with a variety of financial products and services. Barbara has a strong understanding of the financial markets and is committed to providing her clients with personalized financial advice. Barbara holds the Series 7, 9, 10, 63, and 65 licenses and has worked at several prominent firms throughout her career, including UBS Financial Services Inc. and Dean Witter Reynolds Inc. Barbara's current office location is in Scottsdale, Arizona. Barbara is also the owner of a candle-making business, UFF DA! CANDLES BY BOV, which she operates out of her home in Tucson, Arizona.

Firm Information

Barbara Vargas 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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Barbara Vargas’s Registration & Firm History

AZ

07/06/2021 - Present

Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)

AZ

08/11/2020 - 05/06/2021

UBS FINANCIAL SERVICES INC. (TUCSON AZ)

AZ

07/01/2003 - 12/24/2019

WELLS FARGO CLEARING SERVICES, LLC (TUCSON AZ)

NY

02/07/2003 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

AL

07/07/2001 - 01/16/2003

COMPASS BROKERAGE, INC. (BIRMINGHAM AL)

CA

01/20/2000 - 04/04/2001

FIRST WALL STREET CORP. (LA JOLLA CA)

TX

11/12/1999 - 03/30/2000

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

03/10/1998 - 07/23/1999

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 06/16/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/21/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/03/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/20/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/09/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Barbara Vargas.
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