Battle Creek, MI Capital Ave SW Office
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WELLS FARGO Advisors
Institution
Firm-wide stats for WELLS FARGO Advisors
About
Wells Fargo Advisors is a national securities firm that provides investment advisory services, financial planning, wrap‑fee programs and retirement plan consulting to individual, corporate and institutional clients, including pension and charitable organizations. The firm operates at large scale—reporting roughly $671 billion in assets under management and more than 14,000 financial advisors—and offers both brokerage and advisory solutions.
For retirement plans it offers a mix of non‑discretionary consulting and discretionary Plan Level Investment Selection 3(38) services, along with IPS development, investment search and recommendation, benchmarking, participant education and periodic performance reporting. The firm relies on research and analytics from Wells Fargo Investment Institute and third‑party databases and generally evaluates managers and options using diversification principles and modern portfolio theory, while noting that available investment options are typically limited to a plan’s custodian platform.
A noteworthy operational feature is the firm’s role in distributing and facilitating a range of other financial products through bank and insurance affiliates—such as deposit sweep options, lending and trustee services, and insurance/annuity arrangements—and the Form ADV discloses referral and product‑related compensation that can affect advisor incentives. The brochure also discloses several recent regulatory enforcement actions and settlements related to cash sweep disclosures, advisory billing and supervisory controls, which are material considerations for prospective clients.
Based on WELLS FARGO Advisors
Location
3566 Capital Ave SW, Stes 200 & 201
Battle Creek MI 49015
Advisors at this office
4
Advisors at this office
Stacy R
Series 63, Series 66
Battle Creek, MI
Wells Fargo Clearing
Stacy Raymond is a financial advisor with Wells Fargo Clearing, holding Series 63 and Series 66 licenses and bringing 27 years of industry experience. She has been with Wells Fargo Clearing since 2016. Wells Fargo Advisors is a national securities firm that provides investment advisory, financial planning, wrap‑fee programs, and retirement plan consulting to individual, corporate, and institutional clients. The firm manages approximately $671 billion in assets and offers both brokerage and advisory solutions supported by research from Wells Fargo Investment Institute and third-party sources.
Nathan P
Series 63, Series 65
Battle Creek, MI
Wells Fargo Clearing
Nathan Parrish is a financial advisor at Wells Fargo Clearing with 26 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Wells Fargo Clearing since 2017, following eight years at Fifth Third Securities. Wells Fargo Clearing specializes in retirement plan consulting for qualified ERISA and non-qualified deferred compensation plans, providing both discretionary and non-discretionary services. The firm’s advisory approach is IPS-driven and incorporates modern portfolio theory, offering a range of investment options including insurance-related vehicles and bank deposit sweep programs.
Jeffrey S
Series 63, Series 65
Battle Creek, MI
Wells Fargo Clearing
Jeffrey Sovern is a financial advisor with Wells Fargo Clearing, holding Series 63 and Series 65 designations and bringing 47 years of industry experience. He has been with Wells Fargo Clearing since 2016. Wells Fargo Advisors is a national securities firm serving individual, corporate, and institutional clients, including pension and charitable organizations. The firm offers a range of investment advisory services, financial planning, and retirement plan consulting, utilizing research from Wells Fargo Investment Institute and third-party sources to support its investment approach.
Charles C
Series 63, Series 66
Battle Creek, MI
Wells Fargo Clearing
Charles Carroll is a financial advisor at Wells Fargo Clearing with 31 years of industry experience. He holds Series 63 and Series 66 designations and has been with Wells Fargo Clearing since 2016. Outside of his advisory work, he is a self-employed musician who provides entertainment at restaurants and private parties. Wells Fargo Advisors is a national securities firm serving individual, corporate, and institutional clients with investment advisory services, financial planning, and retirement plan consulting. The firm combines research from Wells Fargo Investment Institute and third-party databases, offering both brokerage and advisory solutions across a broad range of financial products.
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