Sterling Desorcy (CRD# 3113044) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Naples, FL and has over 18 years of experience in the finance industry.
CRD# 4670011
Riverglades Family Offices, LLC
Score
103
CRD# 6336284
Independent Financial Partners
Score
100
CRD# 5864610
Aci Wealth Advisors
Score
100
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Wells Fargo Advisors Financial Network LLC | Fort Myers, FL | May 2009 - Current | 8 |
| United Health Care | Fort Myers, FL | Jul 1997 - Current | 20 |
| Wachovia Securities Financial Network, LLC | Fort Myers, FL | Sep 2005 - May 2009 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Oct 1998 |
| S65 | NASAA Investment Advisors Law Examination | Sep 2007 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Customer Dispute
- Criminal Record
- FL
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Total Assets Under Management38,415MILLIONS
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Total Number of Accounts131,465ACCOUNTS
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Average Account Value$292,208
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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