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Detailed Report
JAMES ULLRICH
CRD#: 2615255
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3080 IRONCLAD ALLEY
MOUNT PLEASANT, SC 29466
Registration History
19952000200520102015202020252 FIRMS2000 - 2004 (4 years)2 FIRMS2004 - Present (20 years)BJ.C. BRADFORD & CO. (CRD# 1287)1995 - 2000 (5 years)
Disclosure(s)
View By:
10/3/2005
Customer Dispute
Denied
License(s)

State Registrations

B
California 8/6/2010
B
New Hampshire 6/25/2013
B
Delaware 8/12/2015
B
North Carolina 12/13/2004
B
Florida 12/13/2004
B
Ohio 12/13/2004
B
Georgia 2/14/2011
B
South Carolina 12/13/2004
B
Maryland 8/22/2023
IA
South Carolina 12/13/2004
B
Michigan 7/6/2017
B
Virginia 12/13/2004
B
Nevada 11/7/2017

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)
3080 IRONCLAD ALLEY, MOUNT PLEASANT, SC 29466
507 COLEMAN BLVD, MOUNT PLEASANT, SC 29464
Registered with this firm since 12/13/2004
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3080 IRONCLAD ALLEY, MOUNT PLEASANT, SC 29466
507 COLEMAN BLVD, MOUNT PLEASANT, SC 29464
Registered with this firm since 12/13/2004
Previous Registration(s)
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IA
 08/12/2000 - 12/09/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHARLESTON, SC
B
 08/14/2000 - 12/09/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 06/26/1995 - 08/14/2000 J.C. BRADFORD & CO. (CRD#:1287) 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.