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Gregory Sigmund

Chief Operating Officer, Director (Board Member) at Wells Fargo Investment Institute

Broker registration; no current adviser registration

Gregory Sigmund is Chief Operating Officer, Director (Board Member) of Wells Fargo Investment Institute, Inc., a Charlotte investment adviser managing $43B. Gregory Sigmund has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

1
Past adviser firms
5
Licensing exams

From the IAPD record · data retrieved 17 October 2026 · page updated 20 October 2026SEC record

Career

Gregory Sigmund has been Chief Operating Officer, Director (Board Member) of Wells Fargo Investment Institute since April 2021. Gregory Sigmund is a control person of the firm and directly owns under 5% of it. Gregory Sigmund holds a BS in Finance and an MBA from Saint Louis University.

Wells Fargo Investment Institute, Inc. is a Charlotte, NC firm with $43B under management, 12,216 clients and 143 advisers across 3 offices, as of its March 2026 filing.

Wells Fargo Investment Institute identifies Greg Sigmund as its Chief Operating Officer and head of Investment & Operations.

  1. Wells Fargo Clearing Services, LLC
    – · 9 years
    St. Louis, MO · Adviser representative · Firm CRD 19616

Credentials and registrations

Professional designations

Listed by Wells Fargo Investment Institute and the sources below

  • CFA charterholder

Examinations

SIECredited
Name
Securities Industry Essentials Examination
Series 165 November 2004
Name
NYSE Supervisory Analyst Examination
Series 875 November 2004
Name
Research Analyst Exam - Part II Regulations Module
Series 2426 June 2003
Name
General Securities Principal Examination
Series 6319 September 2000
Name
Uniform Securities Agent State Law Examination
Series 725 August 1999
Name
General Securities Representative Examination

Individual record

Full name
Gregory Scott Sigmund
CRD
1229174

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Gregory Sigmund work?

Gregory Sigmund has been Chief Operating Officer, Director (Board Member) of Wells Fargo Investment Institute, Inc. since April 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 23 March 2026

Does Gregory Sigmund have a current investment-adviser registration?

Gregory Sigmund has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 17 October 2026

What exams has Gregory Sigmund passed?

Gregory Sigmund has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 16 and Series 87. The earliest, the Series 7, was passed in August 1999. FINRA credited Gregory Sigmund with the SIE, which began in October 2018.

Source: IAPD individual record, checked 17 October 2026

Where was Gregory Sigmund previously registered as an investment adviser?

Gregory Sigmund has past investment-adviser registrations through Wells Fargo Clearing Services, LLC, December 2008 to May 2018, across 1 firm.

Source: IAPD individual record, checked 17 October 2026

Is Gregory Sigmund a CFA charterholder?

Wells Fargo Investment Institute lists Gregory Sigmund with the CFA credential (“CFA charterholder”) on its website. CFA Institute confirms certification status.

Source: Official firm biography

Leadership at Wells Fargo Investment Institute

Sources

  1. IAPD individual record, CRD 1229174. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Wells Fargo Investment Institute, Inc., filed 23 March 2026. Title, control and ownership bands.
  3. Official firm biography. Biography, education, credentials.

Retrieved 17 October 2026. The SEC record may have been amended since.

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