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Detailed Report
GEORGE JAMES MUNDY
CRD#: 2344876
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1010 STONY HILL RD STE 100
YARDLEY, PA 19067
Registration History
19952000200520102015202020252 FIRMS2010 - Present (14 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - 2010 (4 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2005 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1993 - 1999 (6 years)
Disclosure(s)
View By:
8/7/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/21/2017
B
New Hampshire 9/26/2018
B
California 7/30/2010
B
New Jersey 7/30/2010
B
Colorado 4/11/2024
B
New York 9/15/2022
B
Connecticut 11/18/2024
B
North Carolina 7/30/2010
B
Delaware 7/30/2010
B
Ohio 7/30/2010
B
District of Columbia 9/26/2018
B
Oregon 6/3/2015
B
Florida 7/30/2010
B
Pennsylvania 7/30/2010
B
Georgia 9/26/2013
IA
Pennsylvania 8/3/2010
B
Hawaii 11/3/2021
B
South Carolina 7/30/2010
B
Illinois 7/30/2010
B
Texas 9/26/2018
B
Kansas 4/29/2021
IA
Texas 9/26/2018
B
Maine 7/30/2010
B
Utah 9/26/2018
B
Maryland 7/30/2010
B
Virginia 7/30/2010
B
Massachusetts 8/16/2018
B
Washington 1/3/2017
B
Missouri 11/21/2019
B
Wyoming 12/23/2024
B
Nevada 4/19/2017

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)
1010 STONY HILL RD STE 100, YARDLEY, PA 19067
NEWTOWN, PA
Registered with this firm since 8/3/2010
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1010 STONY HILL RD STE 100, YARDLEY, PA 19067
NEWTOWN, PA
Registered with this firm since 7/30/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/09/2005 - 08/03/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEWTOWN, PA
B
 06/28/1999 - 12/12/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 06/12/1993 - 07/14/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.