Lima, OH Office
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WELLS FARGO Advisors
Institution
Firm-wide stats for WELLS FARGO Advisors
About
Wells Fargo Advisors Financial Network is a large broker‑dealer and registered investment adviser affiliated with Wells Fargo that provides investment and fee‑based financial planning services to individuals, trusts, and institutional clients through a network of financial advisors. Its planning menu is broad and offered to clients who meet a net‑worth threshold, covering cash‑flow, retirement, education, risk and wealth‑transfer planning as well as niche services such as business‑owner transition planning, sports & entertainment planning, special‑needs analysis, and divorce planning that require specific advisor credentials.
Financial advisors develop tailored recommendations using Wells Fargo research, planning tools and simulation models, and deliver those recommendations through meetings and written client summary letters; clients may choose whether or how to implement recommendations and implementation through the firm’s brokerage or advisory programs is optional. Planning engagements are generally discrete rather than ongoing, and fees are negotiated based on the scope and complexity of the engagement.
Notably, the firm integrates advisory services with other financial product sales and referral channels—such as banking, securities‑based lending, trustee services and affiliated fund strategies—resulting in multiple compensation streams for advisors and referral payments to affiliated entities. WFAFN’s disclosure also highlights a range of advisor compensation arrangements (including recruitment payments, loan options, enhanced payouts, and a recently disclosed advisory earnings‑sharing arrangement) and a record of regulatory settlements that are relevant to its compliance and supervisory oversight.
Based on WELLS FARGO Advisors
Expertise
Based on WELLS FARGO Advisors
Location
3656 Allentown Road, 1st Fl
Lima OH 45807
Advisors at this office
3
Advisors at this office
Richard H
Series 66
Lima, OH
Wells Fargo Advisors
Richard Hover Jr. is a financial advisor with Wells Fargo Advisors and holds a Series 66 designation. He has 22 years of industry experience, including roles at Wells Fargo Advisors LLC and Wells Fargo Clearing prior to his current position. He is also involved in entrepreneurial activities through ownership of HOVER ENTERPRISES, LLC and EXCELSIOR WEALTH MANAGEMENT LLC. Wells Fargo Advisors Financial Network is a large brokerage and registered investment adviser serving individuals, trusts, and institutional clients. The firm offers a wide range of financial planning services with tailored recommendations supported by proprietary research and tools.
Lori S
Series 66
Lima, OH
Wells Fargo Advisors
Lori Shafer is a financial advisor with Wells Fargo Advisors, holding a Series 66 designation and 12 years of industry experience. She has worked with Wells Fargo Advisors and related entities since 1993. Outside of her advisory role, she is a commissioned notary public in Ohio. Wells Fargo Advisors Financial Network is a broker-dealer and registered investment adviser that provides investment and financial planning services to individuals, trusts, and institutions. The firm offers a broad range of planning services, including retirement, education, and business-owner transition planning, supported by Wells Fargo’s research and planning tools.
Brian B
Series 63, Series 66
Lima, OH
Wells Fargo Advisors
Brian Bates is a financial advisor at Wells Fargo Advisors with 41 years of industry experience. He has held various roles within Wells Fargo-affiliated firms since 2009. Outside of his advisory work, he serves as a trustee for his father’s trust and holds ownership stakes in Brian Bates Enterprises LLC and Excelsior Wealth Management, LLC, both involved in investment-related activities. Wells Fargo Advisors Financial Network is a large broker-dealer and registered investment adviser that offers a broad range of investment and financial planning services to individuals, trusts, and institutional clients. The firm utilizes proprietary research and planning tools to develop tailored recommendations across various planning areas, and integrates advisory services with multiple financial products and referral channels.
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