Individual Firm
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JAMES DAVID CURRAN
CRD#: 1018208
IA
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WELLS FARGO ADVISORSCRD#: 11025 28 CASWELL ST
STE 700
NARRAGANSETT, RI 02882
STE 700
NARRAGANSETT, RI 02882
View By:
8/18/2000
Customer Dispute
Denied
State Registrations
B
California 5/30/2014
B
Ohio 5/30/2014
B
Connecticut 5/30/2014
B
Oregon 5/30/2014
B
Florida 5/30/2014
B
Pennsylvania 5/30/2014
B
Louisiana 1/12/2024
B
Rhode Island 5/30/2014
B
Massachusetts 6/24/2014
IA
Rhode Island 5/30/2014
B
Michigan 2/21/2020
B
South Carolina 5/30/2014
B
Minnesota 7/27/2023
B
Texas 10/1/2020
B
New Hampshire 6/4/2014
IA
Texas 10/2/2020
B
New York 5/30/2014
B
Vermont 5/30/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 5/30/2014
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Registered with this firm since 5/30/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 06/02/2014 | PROVIDENCE, RI | |
B | 06/01/2009 - 06/02/2014 | PROVIDENCE, RI | |
IA | 04/02/2007 - 06/01/2009 | PROVIDENCE, RI | |
B | 04/02/2007 - 06/01/2009 | PROVIDENCE, RI | |
IA | 09/26/2000 - 04/02/2007 | PROVIDENCE, RI | |
B | 08/18/2000 - 04/02/2007 | PROVIDENCE, RI | |
B | 05/20/1994 - 08/23/2000 | NEW YORK, NY | |
B | 12/05/1984 - 06/01/1994 | BOSTON, MA | |
B | 12/24/1981 - 12/28/1984 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.