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JAMES RANDALL PRINGLE
JR PRINGLE
CRD#: 1277121
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 200 E EAU GALLIE BLVD
INDIAN HARBOUR BEACH, FL 32937
Registration History
1985199019952000200520102015202020252 FIRMS1997 - 2005 (8 years)IAWELLS FARGO ADVISORS (CRD# 19616)2006 - Present (19 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2005 - Present (19 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1997 (4 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1984 - 1991 (6 years)
Disclosure(s)
View By:
3/5/2008
Customer Dispute
Settled
10/12/2005
Customer Dispute
Denied
8/9/2005
Customer Dispute
Closed-No Action
10/30/2001
Customer Dispute
Denied
3/8/2000
Customer Dispute
Settled
8/20/1998
Regulatory
Final
9/30/1997
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 12/26/2024

B
Nevada 10/13/2022

B
California 7/30/2021

B
New Hampshire 12/7/2021

B
Colorado 3/25/2015

B
New Jersey 1/9/2019

B
Connecticut 2/4/2019

B
New Mexico 9/29/2022

B
Delaware 5/15/2023

B
New York 6/22/2005

B
Florida 6/22/2005

B
North Carolina 6/22/2005

IA
Florida 2/28/2006

B
Ohio 1/13/2021

B
Georgia 4/28/2021

B
Oregon 11/15/2019

B
Hawaii 3/21/2011

B
Pennsylvania 7/11/2018

B
Idaho 10/12/2022

B
South Carolina 12/22/2011

B
Illinois 5/6/2014

B
Tennessee 1/13/2021

B
Kentucky 10/7/2014

B
Texas 10/26/2017

B
Louisiana 4/15/2020

IA
Texas 10/26/2017

B
Maine 11/17/2023

B
Utah 4/27/2022

B
Maryland 1/7/2019

B
Vermont 12/2/2022

B
Minnesota 7/14/2016

B
Virginia 1/7/2019

B
Montana 4/27/2022

B
Washington 4/27/2022

B
Nebraska 7/18/2022

B
Wisconsin 4/29/2020

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
200 E EAU GALLIE BLVD, INDIAN HARBOUR BEACH, FL 32937
Registered with this firm since 2/28/2006

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
200 E EAU GALLIE BLVD, INDIAN HARBOUR BEACH, FL 32937
Registered with this firm since 6/22/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/24/1997 - 06/16/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) MELBOURNE, FL
B
01/16/1997 - 06/16/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
07/07/1992 - 01/17/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
09/04/1984 - 02/26/1991 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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B
Broker
IA
Investment Adviser
Disclosures
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.