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Mark Grafton

Wells Fargo Clearing Services, LLC

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About Mark Grafton

Mark Grafton is an Investment Advisor Representative with Wells Fargo Clearing Services, LLC. Mark has over 26 years of experience in the financial services industry. Mark is registered with the state of Texas. Mark has a Series 6, 7, 24, 63, and 65 licenses and has passed the SIE exam. Mark has previously worked with J.P. Morgan Securities LLC, Chase Investment Services Corp., Advisors Asset Management, Inc., and BANC ONE SECURITIES CORPORATION.

Firm Information

Mark Grafton 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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Mark Grafton’s Registration & Firm History

TX

08/31/2022 - Present

Wells Fargo Clearing Services, LLC (AUSTIN TX)

TX

10/01/2012 - 09/01/2022

J.P. MORGAN SECURITIES LLC (DRIPPING SPRINGS TX)

TX

07/26/2012 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)

TX

08/25/2008 - 06/25/2012

ADVISORS ASSET MANAGEMENT, INC. (BOERNE TX)

TX

07/06/2005 - 08/27/2008

CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)

IL

01/02/2004 - 07/06/2005

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

NY

10/25/2002 - 12/16/2003

NEW ENGLAND SECURITIES (NEW YORK NY)

NY

10/20/1999 - 10/10/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

MA

02/08/1996 - 10/25/1999

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

02/08/1996 - 10/25/1999

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

IA

Issued 11/03/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/07/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/24/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/11/1996

Series 7 - General Securities Representative Examination

BC

Issued 02/07/1996

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 Mark Grafton.
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