Individual Firm
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ANTHONY GILLESPIE GAINES
ANTHONY G GAINES, TONY GAINES
CRD#: 2428380
IA
B
WELLS FARGO ADVISORSCRD#: 19616 499 GLOSTER CREEK VLG
STE F6A
TUPELO, MS 38801
STE F6A
TUPELO, MS 38801
0
Disclosures
31
Years of Experience
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State Registrations
B
Alabama 9/16/2010
B
Mississippi 9/16/2010
B
Arkansas 9/16/2010
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Mississippi 9/16/2010
B
California 10/26/2022
B
New Mexico 9/16/2010
B
Colorado 9/16/2010
B
Tennessee 9/16/2010
B
Florida 9/16/2010
B
Texas 9/16/2010
B
Georgia 9/16/2010
IA
Texas 9/16/2010
B
Louisiana 9/16/2010
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 9/16/2010
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Registered with this firm since 9/16/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 09/22/2010 | TUPELO, MS | |
B | 06/01/2009 - 09/22/2010 | TUPELO, MS | |
IA | 04/02/2007 - 06/01/2009 | TUPELO, MS | |
B | 04/02/2007 - 06/01/2009 | TUPELO, MS | |
IA | 12/10/2002 - 04/02/2007 | TUPELO, MS | |
B | 01/01/1994 - 04/02/2007 | TUPELO, MS |
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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.
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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.