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Sorin Stefan Moldovan

Wells Fargo Securities, LLC

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About Sorin Stefan Moldovan

Sorin Moldovan is a financial advisor currently registered with Wells Fargo Securities, LLC. Sorin has over 2 years of experience in the financial services industry. Sorin holds a Series 63, Series 7, Series 6, and Series 52 licenses, along with a SIE. Sorin is registered in North Carolina. Sorin was previously employed with Vanguard Marketing Corporation and Principal Securities, Inc.

Firm Information

Sorin Moldovan is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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.

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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Sorin Moldovan’s Registration & Firm History

NC

09/29/2023 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

NC

10/14/2021 - 09/20/2023

VANGUARD MARKETING CORPORATION (CHARLOTTE NC)

NC

09/13/2021 - 10/12/2021

PRINCIPAL SECURITIES, INC. (Charlotte NC)

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Licenses & Designations

BC

Issued 11/15/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/14/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 11/04/2021

Series 7TO - General Securities Representative Examination

BC

Issued 09/13/2021

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 04/30/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sorin Stefan Moldovan.
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