• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ALAN LEE WARD
CRD#: 1453540
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 190 BILTMORE AVE
ASHEVILLE, NC 28801
Registration History
199019952000200520102015202020252 FIRMS2008 - 2016 (7 years)2 FIRMS2016 - 2023 (7 years)2 FIRMS2023 - Present (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2008 (10 years)BTHE ROBINSON-HUMPHREY COMPANY, LLC (CRD# 723)1998 - 1998 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - 1998 (12 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2008 (6 years)
License(s)

State Registrations

B
Arizona 8/24/2023

IA
North Carolina 8/24/2023

B
Colorado 8/24/2023

B
Ohio 8/24/2023

B
Florida 8/24/2023

B
Pennsylvania 8/24/2023

B
Georgia 8/24/2023

B
Rhode Island 8/24/2023

B
Illinois 8/24/2023

B
South Carolina 8/24/2023

B
Louisiana 8/24/2023

B
Tennessee 8/24/2023

B
Maryland 8/24/2023

B
Texas 8/24/2023

B
Massachusetts 8/24/2023

IA
Texas 8/24/2023

B
New York 8/24/2023

B
Virginia 8/24/2023

B
North Carolina 8/24/2023

B
Washington 8/24/2023

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

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)
190 BILTMORE AVE, ASHEVILLE, NC 28801
Registered with this firm since 8/24/2023

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
190 BILTMORE AVE, ASHEVILLE, NC 28801
Registered with this firm since 8/24/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/09/2016 - 09/05/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) ASHEVILLE, NC
B
03/09/2016 - 09/05/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) ASHEVILLE, NC
IA
10/20/2008 - 03/10/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HENDERSONVILLE, NC
B
10/20/2008 - 03/10/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HENDERSONVILLE, NC
IA
12/31/2001 - 11/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HENDERSONVILLE, NC
B
06/11/1998 - 11/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HENDERSONVILLE, NC
B
01/27/1998 - 06/17/1998 THE ROBINSON-HUMPHREY COMPANY, LLC (CRD#:723) ATLANTA, GA
B
01/22/1986 - 01/27/1998 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.