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Detailed Report
CAROLYN JAMES
CAREY FARRIS, CAROLYN STOLAROFF FARRIS, CAROLYN JAMES STOLAROFF
CRD#: 1738981
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
19952000200520102015202020252 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1994 - 2007 (12 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2007 (8 years)
License(s)

State Registrations

B
Alabama 11/1/2011
B
Minnesota 11/1/2011
B
Alaska 11/1/2011
B
Montana 11/1/2011
B
Arizona 11/1/2011
B
Nebraska 10/20/2021
B
California 12/5/2008
B
Nevada 11/1/2011
IA
California 12/9/2008
B
New Mexico 1/12/2021
B
Colorado 3/7/2014
B
Ohio 11/2/2011
B
Connecticut 2/21/2025
B
Oregon 11/1/2011
B
Delaware 2/21/2025
B
Rhode Island 11/1/2011
B
Florida 11/1/2011
B
Tennessee 8/6/2021
B
Hawaii 6/17/2019
B
Texas 6/25/2019
B
Idaho 3/3/2025
IA
Texas 6/25/2019
B
Illinois 2/26/2021
B
Utah 11/1/2011
B
Indiana 4/4/2017
B
Washington 11/1/2011
B
Louisiana 7/16/2018
B
Wisconsin 11/8/2024
B
Maryland 11/1/2011
B
Wyoming 7/15/2021
B
Massachusetts 11/1/2011

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

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)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 12/9/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 12/5/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 12/08/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
B
 04/02/2007 - 12/08/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
IA
 11/02/1998 - 04/02/2007 MORGAN STANLEY (CRD#:7556) PASADENA, CA
B
 11/17/1994 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.