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Raymond Vega

Wells Fargo Clearing Services, LLC

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About Raymond Vega

Raymond Vega is a financial advisor who has been in the industry for over 30 years. Raymond is currently registered as a registered representative with Wells Fargo Clearing Services, LLC and holds several licenses and certifications. Raymond has a long history in the industry, having worked with several firms before joining Wells Fargo in 2009. Raymond’s experience and qualifications, along with his commitment to providing clients with personalized financial advice, make him a valuable resource for anyone seeking guidance on their financial goals.

Firm Information

Raymond Vega 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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Raymond Vega’s Registration & Firm History

NJ

09/27/2024 - Present

Wells Fargo Clearing Services, LLC (SUMMIT NJ)

NJ

10/20/2004 - 04/28/2006

BANC OF AMERICA INVESTMENT SERVICES, INC. (ELIZABETH NJ)

NY

04/25/2001 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

PA

10/21/1998 - 04/25/2001

SUMMIT FINANCIAL SERVICES GROUP, INC. (BETHLEHEM PA)

TX

08/24/1998 - 10/21/1998

FISERV INVESTOR SERVICES, INC. (HOUSTON TX)

PA

01/14/1998 - 08/06/1998

PNC BROKERAGE CORP (PITTSBURGH PA)

NY

08/28/1992 - 01/01/1998

FLEET ENTERPRISES, INC. (NEW YORK NY)

NY

01/09/1992 - 07/13/1992

USLIFE EQUITY SALES CORP. (NEW YORK NY)

NY

07/12/1990 - 12/31/1991

CADARET, GRANT & CO., INC. (SYRACUSE NY)

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Licenses & Designations

IA

Issued 12/27/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/19/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/08/2006

Series 53 - Municipal Securities Principal Examination

BC

Issued 12/05/1994

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/08/1994

Series 7 - General Securities Representative Examination

BC

Issued 07/11/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Raymond Vega. Review regulatory record here.
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