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Joseph Alan Sorrell

Wells Fargo Clearing Services, LLC

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About Joseph Alan Sorrell

Joseph Alan Sorrell is a financial advisor at Wells Fargo Clearing Services, LLC in Winchester, VA. Joseph has over 25 years of experience in the financial services industry. Prior to joining Wells Fargo Clearing Services, LLC, Joseph was a financial advisor at Principal Securities, Inc. and Capital One Investing, LLC. Joseph is registered to provide financial advice in 30 states.

Firm Information

Joseph Sorrell 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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Joseph Sorrell’s Registration & Firm History

VA

07/01/2021 - Present

Wells Fargo Clearing Services, LLC (WINCHESTER VA)

IA

04/01/2016 - 06/25/2021

PRINCIPAL SECURITIES, INC. (DES MOINES IA)

MD

01/02/2015 - 03/18/2016

CAPITAL ONE INVESTING, LLC (FREDERICK MD)

VA

07/14/2011 - 01/02/2015

CAPITAL ONE INVESTMENT SERVICES LLC (MCLEAN VA)

MD

09/30/2004 - 07/12/2011

M&T SECURITIES, INC. (FREDERICK MD)

NC

06/06/2002 - 09/21/2004

BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)

MD

08/30/2001 - 06/04/2002

CHEVY CHASE FINANCIAL SERVICES (BETHESDA MD)

MO

10/01/1999 - 07/23/2001

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NC

06/30/1998 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

MD

11/20/1996 - 07/02/1998

CALVERT DISTRIBUTORS, INC. (BETHESDA MD)

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Licenses & Designations

BOTH

Issued 09/13/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/06/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/03/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/1996

Series 7 - General Securities 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 Joseph Alan Sorrell.
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