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JAMES LUKE COPLEY
JAMES L COPLEY, LUKE COPLEY
CRD#: 2518302
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 958 BLOWING ROCK RD
BOONE, NC 28607
Registration History
19952000200520102015202020252 FIRMS2001 - 2003 (1 year)2 FIRMS2003 - Present (21 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 2001 (6 years)
Disclosure(s)
View By:
3/27/2012
Customer Dispute
Denied
1/28/2008
Customer Dispute
Denied
8/12/2002
Customer Dispute
Closed-No Action
12/31/1999
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 7/7/2022

B
Missouri 9/22/2020

B
California 1/8/2020

B
New Jersey 7/12/2024

B
Colorado 9/8/2016

B
North Carolina 5/9/2003

B
Connecticut 2/7/2018

IA
North Carolina 5/9/2003

B
Florida 5/9/2003

B
Pennsylvania 8/7/2023

B
Georgia 11/21/2024

B
South Carolina 3/24/2023

B
Idaho 7/12/2024

B
Tennessee 6/26/2003

B
Illinois 11/7/2024

B
Virginia 5/9/2003

B
Michigan 3/20/2024

B
West Virginia 7/12/2024

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)
958 BLOWING ROCK RD, BOONE, NC 28607
Registered with this firm since 5/9/2003

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
958 BLOWING ROCK RD, BOONE, NC 28607
Registered with this firm since 5/9/2003

Previous Registration(s)
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IA
12/31/2001 - 04/16/2003 UBS PAINEWEBBER INC. (CRD#:8174) WINSTON-SALEM, NC
B
07/13/2001 - 04/16/2003 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
10/12/1994 - 07/19/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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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.