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Joseph Alexander Gifford

Wells Fargo Clearing Services, LLC

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About Joseph Alexander Gifford

Joseph Gifford is a financial professional with over 20 years of experience in the industry. Joseph has a broad range of experience working for firms such as Charles Schwab & Co., Inc., Dean Witter Reynolds Inc., and Vestax Securities Corporation. Joseph is currently registered with Wells Fargo Clearing Services, LLC and is licensed to provide investment advice in multiple states. Joseph is a Certified Financial Planner and holds the Series 7, Series 63, and Series 65 licenses. Joseph is dedicated to providing personalized financial advice to individuals and families.

Firm Information

Joseph Gifford 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 Gifford’s Registration & Firm History

FL

06/29/2023 - Present

Wells Fargo Clearing Services, LLC (BOCA RATON FL)

FL

04/26/2021 - 06/29/2023

CITIZENS SECURITIES, INC. (FORT LAUDERDALE FL)

FL

07/17/2013 - 05/06/2021

CHARLES SCHWAB & CO., INC. (Palm Beach Gardens FL)

OH

01/28/2002 - 07/22/2002

VESTAX SECURITIES CORPORATION (HUDSON OH)

NY

11/18/1997 - 12/14/1999

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 08/05/2013

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 12/27/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/17/2013

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 is public disclosure for Joseph Alexander Gifford. Review regulatory record here.
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