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Frances Hara

Wells Fargo Clearing Services, LLC

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About Frances Hara

Frances Hara is a financial professional with over 7 years of experience in the financial services industry. Frances has a broad background in financial services, having worked with several firms, including Commonwealth Financial Network, Cetera Advisor Networks LLC, and Wells Fargo Clearing Services, LLC. Frances is currently registered with Wells Fargo Clearing Services, LLC and holds Series 7, 99, 24, 66, and SIE licenses. Frances works with individuals and families as well as businesses and charitable organizations to help them meet their financial goals.

Firm Information

Frances Hara 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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Frances Hara’s Registration & Firm History

CA

01/16/2025 - Present

Wells Fargo Clearing Services, LLC (SAN DIEGO CA)

CA

05/18/2021 - 01/03/2022

COMMONWEALTH FINANCIAL NETWORK (SAN DIEGO CA)

CA

02/01/2019 - 05/13/2021

CETERA ADVISOR NETWORKS LLC (SAN DIEGO CA)

CA

02/01/2019 - 05/13/2021

CETERA ADVISORS LLC (SAN DIEGO CA)

CA

02/01/2019 - 05/13/2021

CETERA FINANCIAL SPECIALISTS LLC (SAN DIEGO CA)

CA

02/01/2019 - 05/13/2021

CETERA INVESTMENT SERVICES LLC (SAN DIEGO CA)

CA

09/09/2016 - 05/13/2021

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CA

02/01/2019 - 12/03/2019

SUMMIT BROKERAGE SERVICES, INC. (San Diego CA)

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Licenses & Designations

BOTH

Issued 02/18/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/22/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/31/2018

Series 7 - General Securities Representative Examination

BC

Issued 09/09/2016

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Frances Hara.
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