Tempe, AZ W Washington St 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
1150 W Washington St
Tempe AZ 85281
Advisors at this office
4
Advisors at this office
Cindy D
Series 66
Tempe, AZ
Wells Fargo Clearing
Cindy Duong is a financial advisor with Wells Fargo Clearing in Tempe, AZ, holding a Series 66 designation and 19 years of industry experience. She has worked with Wells Fargo in various capacities since 2007, with a brief tenure at Stifel in 2015. Wells Fargo Advisors is a national securities firm serving individual, corporate, and institutional clients with investment advisory services, financial planning, retirement plan consulting, and brokerage solutions. The firm manages approximately $671 billion in assets and integrates research from Wells Fargo Investment Institute alongside third-party data to support diversified investment strategies.
Susan K
Series 66
Tempe, AZ
Wells Fargo Clearing
Susan Krech is a financial advisor with Wells Fargo Clearing in Tempe, AZ, holding a Series 66 designation and 25 years of industry experience. Her career includes roles at Morgan Stanley, Citigroup Global Markets, and KeyBanc Capital Markets before joining Wells Fargo in 2016. Wells Fargo Advisors is a national securities firm serving individual, corporate, and institutional clients with a range of investment advisory, financial planning, and retirement plan consulting services. 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.
Elizabeth M
Series 63, Series 66
Tempe, AZ
Wells Fargo Clearing
Elizabeth Minard is a financial advisor with Wells Fargo Clearing in Tempe, AZ, holding Series 63 and Series 66 licenses and bringing 26 years of industry experience. She has worked at Wells Fargo Clearing since 2016 and previously worked at UBS Financial Services from 2005 to 2009. Wells Fargo Advisors is a national securities firm that serves individual, corporate, and institutional clients, offering investment advisory services, financial planning, and retirement plan consulting through a large network of over 14,000 financial advisors and approximately $671 billion in assets under management.
Cory B
Series 63, Series 66
Tempe, AZ
Wells Fargo Clearing
Cory Britton is a financial advisor with Wells Fargo Clearing in Tempe, AZ, holding Series 63 and Series 66 licenses and 17 years of industry experience. He has been with Wells Fargo Clearing since 2015. 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 manages roughly $671 billion in assets and offers both brokerage and advisory solutions, relying on research and analytics to support its investment approach.
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