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Eric Wendling

Wells Fargo Clearing Services, LLC

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About Eric Wendling

Eric Wendling is a registered representative with Wells Fargo Clearing Services, LLC. Eric has over 20 years of experience in the financial services industry, specializing in investment consulting services to institutional clients. Eric is registered to provide investment advisory services in several states, including New Jersey, New York, and Texas. Eric also holds a Series 66 license, a Series 63 license, a Series 4 license, a Series 57TO license, a Series 55 license, a Series 7 license, and a Series 25 license. Eric is also registered to provide investment advisory services to individuals and businesses.

Firm Information

Eric Wendling 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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Eric Wendling’s Registration & Firm History

NY

09/04/2019 - Present

Wells Fargo Clearing Services, LLC (ALBANY NY)

NY

06/20/2017 - 06/26/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LATHAM NY)

NY

05/19/2008 - 11/02/2016

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

05/24/2005 - 02/25/2008

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

03/31/2004 - 05/17/2005

BERNARD HEROLD & CO., INC. (NEW YORK NY)

NY

08/07/2003 - 04/13/2004

ALBERT FRIED & COMPANY, LLC (NEW YORK NY)

NY

07/20/2001 - 08/11/2003

MCKEON BROTHERS, LLC (OYSTER BAY NY)

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Licenses & Designations

BOTH

Issued 07/15/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/17/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/20/2011

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/11/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/06/2002

Series 7 - General Securities Representative Examination

BC

Issued 01/17/2002

Series 25 - NYSE Trading Assistant 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 is public disclosure for Eric Wendling. Review regulatory record here.
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