Joanne Gordon

CRD 1531035 · Wells Fargo Advisors · Santa Barbara, CA

IA RegisteredBroker

Also appears in the source record as: Joanne T Headrick Gordon; Joanne Teresa Gordon; Joanne Teresa Headrick

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 63Series 65
Registered states (19): Arizona · California · Florida · Georgia · Hawaii · Idaho · Indiana · Iowa · Massachusetts · Montana · New Hampshire · New York · North Carolina · Oregon · South Carolina · Texas · Utah · Washington · West Virginia
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1531035 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (8)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Santa Barbara, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Solvang, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Santa Barbara, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Solvang, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Santa Barbara, CA · IA capacity

start not retrieved → present
Ubs Financial Services Inc.
Santa Barbara, CA · IA capacity

Jul 8, 1997 → Jul 9, 2020
Ubs Financial Services Inc.
Santa Barbara, CA · BC capacity

Dec 24, 1996 → Jul 9, 2020
Lehman Brothers Inc.
New York, NY · BC capacity

Jul 20, 1988 → Feb 19, 1992

Source & corrections

Where this page comes from

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