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MINDY SPENCER
MINDY BETH ETCHISON, MINDY BETIH SPENCER, MINDY BETH SPRADLING
CRD#: 2448886
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 3280 PEACHTREE RD NE
ATLANTA, GA 30305
Registration History
19952000200520102015202020252 FIRMS2004 - 2012 (7 years)2 FIRMS2022 - Present (2 years)2 FIRMS2023 - Present (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2004 (4 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1998 - 1999 (<1 year)BSEAFIRST INVESTMENT SERVICES, INC. (CRD# 17411)1994 - 1998 (4 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2000 - 2004 (4 years)
Disclosure(s)
View By:
7/6/2021
Financial
Final
6/20/2021
Financial
Final
6/20/2021
Financial
Final
4/17/2019
Financial
Final
License(s)

State Registrations

B
Georgia 12/14/2022

IA
Georgia 12/14/2022

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

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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#:11025)
3280 PEACHTREE RD NE, ATLANTA, GA 30305
Registered with this firm since 2/6/2023

B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
3280 PEACHTREE RD NE, ATLANTA, GA 30305
Registered with this firm since 2/3/2023

IA
WELLS FARGO ADVISORS (CRD#:19616)
3280 PEACHTREE RD NE 4TH FL [G4-RBO], ATLANTA, GA 30305
Registered with this firm since 12/14/2022

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3280 PEACHTREE RD NE 4TH FL [G4-RBO], ATLANTA, GA 30305
Registered with this firm since 10/25/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/07/2004 - 06/28/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLEVUE, WA
B
12/07/2004 - 06/28/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLEVUE, WA
IA
05/15/2000 - 06/09/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) BELLEVUE, WA
B
08/12/1999 - 06/09/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
07/01/1998 - 05/11/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
02/17/1994 - 07/01/1998 SEAFIRST INVESTMENT SERVICES, INC. (CRD#:17411) SEATTLE, WA
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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.