Joseph E Buffa
Investment adviser representative at Wells Fargo Investment Institute, Inc.
17 yearsExperience
1 stateRegistered in
$43BFirm assets
21 yearsFirm in business
Are you Joseph E Buffa? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
Experience
17 years in the industry.
- Wells Fargo Investment Institute, Inc.Feb 2023 to now
- Wells Fargo Clearing Services, LLCNov 2016 to Feb 2023
- Wells Fargo Advisors Financial Network LLCMay 2009 to Nov 2016
- Wells Fargo Advisors, LLCMay 2009 to Nov 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law2005
- Series 66 · Uniform Combined State Law2009
State registrations
Registered as an investment adviser representative in 1 state (MO).
Wells Fargo Investment Institute, Inc.
$43BAssets managed
12,216Clients
52Advisers
21 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4785741
- Firm CRD
- 133204