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Diana Louise Falkenhainer

Wells Fargo Clearing Services, LLC

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About Diana Louise Falkenhainer

Diana Falkenhainer is an investment advisor representative at Wells Fargo Clearing Services, LLC in Pasadena, California. Diana has been working in the financial services industry for over 20 years. Diana has been with Wells Fargo since 2011 and has previously worked at several other financial institutions. Diana specializes in a variety of financial services, including portfolio management, financial planning and retirement planning. Diana is licensed to provide financial advice in multiple states and is dedicated to helping clients reach their financial goals.

Firm Information

Diana Falkenhainer 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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Diana Falkenhainer’s Registration & Firm History

CA

03/12/2015 - Present

Wells Fargo Clearing Services, LLC (PASADENA CA)

CA

07/25/2014 - 12/05/2014

AMERIPRISE FINANCIAL SERVICES, INC. (PASADENA CA)

CA

01/03/2011 - 02/10/2014

WELLS FARGO ADVISORS, LLC (LOS ANGELES CA)

CA

05/07/2010 - 01/03/2011

WELLS FARGO INVESTMENTS, LLC (LOS ANGELES CA)

CA

11/21/2008 - 02/11/2009

UBS FINANCIAL SERVICES INC. (PASADENA CA)

CA

05/16/2008 - 12/02/2008

RBC CAPITAL MARKETS CORPORATION (PASADENA CA)

CA

12/20/2001 - 05/14/2008

WELLS FARGO BROKERAGE SERVICES, L.L.C. (LOS ANGELES CA)

CA

11/30/2001 - 05/14/2008

WELLS FARGO INSTITUTIONAL SECURITIES, LLC (LOS ANGELES CA)

NJ

02/14/2000 - 08/29/2001

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

NY

02/09/1999 - 05/21/1999

SALOMON SMITH BARNEY INC. (NEW YORK NY)

MN

09/25/1998 - 10/22/1998

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

09/25/1998 - 10/22/1998

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 02/22/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/03/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/24/1998

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 Diana Louise Falkenhainer.
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