C. Emmerson Small, II, CFP

Managing Director - Investments, Senior PIM Portfolio Manager

My Philosophy

  • Your best interest is our best interest. To help ensure this, we provide advisory based services rather than the conventional commission-based account1
  • I believe that the unpredictable nature of the investment markets commands a broad-based strategy to balance risk with potential returns. This strategy features asset allocation2 as the basis for investor/advisor decision-making.
  • I believe in empowering the client with online investment tools, using technology to its fullest benefit, along with a clear, advisory based approach.
  • I advocate the use of alternative investments and strategies when appropriate to potentially reduce portfolio risk and increase portfolio income.3



1 Advisory based accounts may not be appropriate for all investors.
2 Asset allocation can not eliminate the risk of fluctuating prices and uncertain returns.
3 Alternative investments carry specific investor qualifications which can include high income and net-worth requirements as well as relatively high investment minimums. They are complex investment vehicles which generally have high costs and substantial risks. The high expenses often associated with these investments must be offset by trading profits and other income. They tend to be more volatile than other types of investments and present an increased risk of investment loss. There may also be a lack of transparency as to the underlying assets. Alternative investments are subject to fewer regulatory requirements than mutual funds and other registered investment company products and thus may offer investors fewer legal protections than they would have with more traditional investments. Additionally, there may be no secondary market for alternative investment interests and transferability may be limited or even prohibited. Other risks may apply as well, depending on the specific investment product.

CAR 0323-00970

Investment and Insurance Products are:

  • Not Insured by the FDIC or Any Federal Government Agency
  • Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate
  • Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested

This information is intended for use only by residents of (AZ, CA, CO, CT, DC, DE, FL, GA, HI, IN, KS, KY, MA, MD, MI, MN, MO, MS, NC, NH, NJ, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, WA, WV). Securities-related services may not be provided to individuals residing in any state not listed above.

For parties residing outside of the U.S., this information is: (i) provided for informational purposes only, (ii) not and should not be construed in any manner as an offer to participate in any investment or to buy or sell any securities or related financial instruments, and (iii) not and should not be construed in any manner as a public offering of any financial services, securities or related financial instruments. Products and services listed may not be available, or may have restrictions, depending on client country of residence.

Investment products and services are offered through Wells Fargo Advisors. Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.

Insurance products are offered through nonbank insurance agency affiliates of Wells Fargo & Company and are underwritten by unaffiliated insurance companies.

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