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Ernesto Aldo Guerrero

Wells Fargo Clearing Services, LLC

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About Ernesto Aldo Guerrero

Ernesto Aldo Guerrero is an investment advisor representative who has been in the industry since May 2002. Ernesto is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since June 2023. Prior to joining Wells Fargo Clearing Services, Ernesto was affiliated with LPL FINANCIAL LLC from January 2020 until December 2022, and with Raymond James Financial Services, Inc. from July 2015 until January 2020. Ernesto holds Series 6, 7, 63 and 66 licenses. In addition to his role as an investment advisor, Ernesto is also a co-owner of a rental property in Washington, D.C.

Firm Information

Ernesto Guerrero 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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Ernesto Guerrero’s Registration & Firm History

VA

06/14/2023 - Present

Wells Fargo Clearing Services, LLC (MCLEAN VA)

VA

01/29/2020 - 12/31/2022

LPL FINANCIAL LLC (RESTON VA)

VA

07/14/2015 - 01/31/2020

RAYMOND JAMES FINANCIAL SERVICES, INC. (RESTON VA)

DC

05/28/2014 - 05/12/2015

RAYMOND JAMES FINANCIAL SERVICES, INC. (WASHINGTON DC)

MD

03/31/2014 - 05/05/2014

MORGAN STANLEY (BETHESDA MD)

DC

05/30/2013 - 01/30/2014

MORGAN STANLEY (WASHINGTON DC)

DC

12/14/2012 - 04/30/2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)

DC

05/29/2009 - 06/29/2010

HSBC SECURITIES (USA) INC. (WASHINGTON DC)

DC

06/29/2004 - 04/28/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (WASHINGTON DC)

NY

07/30/2003 - 08/22/2003

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

DC

01/05/1999 - 06/18/2003

RIGGS SECURITIES INC. (WASHINGTON DC)

CA

12/24/1997 - 01/14/1999

FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)

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Licenses & Designations

BOTH

Issued 01/25/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/02/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2012

Series 7 - General Securities Representative Examination

BC

Issued 12/23/1997

Series 6 - Investment Company Products/Variable Contracts 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 Ernesto Aldo Guerrero.
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