linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

C emmerson Small

Wells Fargo Clearing Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you C emmerson? Claim Your Profile

About C emmerson Small

C. Emmerson Small has been in the financial services industry since 1984. Currently registered with Wells Fargo Clearing Services, LLC, C. Emmerson Small provides investment advisory services to individuals, businesses, and institutional clients. C. Emmerson Small is a Certified Financial Planner and holds multiple securities licenses, including Series 3, 7, 9, 10, 63, and 65. In addition to providing financial planning, C. Emmerson Small also offers portfolio management, pension consulting, and investment consulting services. C. Emmerson Small has extensive experience in the financial services industry, having previously worked at Morgan Stanley DW Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc, and PaineWebber Incorporated.

Firm Information

C emmerson Small 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.

check

financial planning services

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

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

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

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

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.

check

fixed fees

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

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

C emmerson Small’s Registration & Firm History

FL

11/04/2005 - Present

Wells Fargo Clearing Services, LLC (TEQUESTA FL)

NY

11/07/1990 - 11/08/2005

MORGAN STANLEY DW INC. (PURCHASE NY)

NY

04/11/1988 - 12/04/1990

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

04/16/1987 - 04/11/1988

E. F. HUTTON & COMPANY INC

NA

03/22/1984 - 05/02/1987

PAINEWEBBER INCORPORATED

Not sure if C emmerson Small is right for you?

Licenses & Designations

IA

Issued 03/08/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/27/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/30/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/16/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/18/1984

Series 3 - National Commodity Futures Examination

BC

Issued 03/17/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for C emmerson Small.
Not sure if C emmerson Small is right for you?