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Paul Anthony Swope

Wells Fargo Clearing Services, LLC

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About Paul Anthony Swope

Paul Anthony Swope is a registered representative with Wells Fargo Clearing Services, LLC. Paul is a licensed investment advisor and has been in the financial services industry since 1998. Paul has previous experience with First Clearing, LLC, Wells Fargo Advisors Financial Network, LLC, Wachovia Securities, LLC, Invest Financial Corporation, Investment Centers of America, Inc., and Raymond James & Associates, Inc. Paul specializes in providing portfolio management services to individuals and businesses. Paul also provides financial planning, pension consulting, and selection of other advisors.

Firm Information

Paul Swope 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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Paul Swope’s Registration & Firm History

MO

03/13/2018 - Present

Wells Fargo Clearing Services, LLC (ST. LOUIS MO)

MO

04/21/2016 - 11/11/2016

FIRST CLEARING, LLC (ST. LOUIS MO)

MO

11/19/2004 - 04/21/2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)

MO

10/17/2002 - 11/26/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

WI

01/01/1999 - 10/08/2002

INVEST FINANCIAL CORPORATION (APPLETON WI)

WI

01/01/1999 - 12/31/2000

INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)

FL

05/26/1998 - 12/23/1998

RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)

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Licenses & Designations

BOTH

Issued 09/23/1998

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/03/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/03/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/25/1999

Series 53 - Municipal Securities Principal Examination

BC

Issued 04/19/1999

Series 4 - Registered Options Principal Examination

BC

Issued 12/07/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/03/2005

Series 3 - National Commodity Futures Examination

BC

Issued 05/22/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American 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 Paul Anthony Swope.
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