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Detailed Report
PAULA GALLAGHER MOSELEY
PAULA JEAN GALLAGHER, PAULA JEAN MOSELEY
CRD#: 2621752
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 265 BROOKVIEW CENTRE WAY
STE 100
KNOXVILLE, TN 37919
Registration History
19952000200520102015202020252 FIRMS2007 - 2012 (5 years)2 FIRMS2018 - Present (6 years)BTOUCHSTONE SECURITIES, INC. (CRD# 1526)2013 - 2018 (4 years)BJOHN HANCOCK DISTRIBUTORS LLC (CRD# 5249)2005 - 2007 (1 year)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)2005 - 2006 (1 year)BBB&T INVESTMENT SERVICES, INC. (CRD# 33856)2001 - 2003 (1 year)BAMSOUTH INVESTMENT SERVICES, INC. (CRD# 15692)2000 - 2001 (1 year)BINVEST FINANCIAL CORPORATION (CRD# 12984)1997 - 2000 (3 years)BAMERISTAR CAPITAL MARKETS, INC. (CRD# 17068)1995 - 1997 (1 year)IATOUCHSTONE ADVISORS INC (CRD# 107028)2013 - 2015 (1 year)IAESSEX NATIONAL SECURITIES, INC. (CRD# 25454)2004 - 2005 (<1 year)IABB&T INVESTMENT SERVICES, INC. (CRD# 33856)2002 - 2003 (<1 year)
Disclosure(s)
View By:
1/14/2002
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 10/21/2020
B
Missouri 6/21/2021
B
Alaska 9/19/2022
B
New Jersey 6/27/2018
B
Arizona 9/19/2022
B
New Mexico 8/21/2024
B
Arkansas 6/27/2018
B
New York 9/19/2022
B
California 3/16/2020
B
North Carolina 6/27/2018
B
Colorado 9/19/2022
B
Ohio 6/27/2018
B
Connecticut 4/4/2023
B
Oklahoma 10/15/2018
B
Delaware 4/4/2023
B
Oregon 9/19/2022
B
District of Columbia 9/19/2022
B
Pennsylvania 6/27/2018
B
Florida 6/27/2018
B
South Carolina 6/27/2018
B
Georgia 6/27/2018
B
Tennessee 6/28/2018
B
Illinois 9/19/2022
IA
Tennessee 7/31/2018
B
Indiana 9/19/2022
B
Texas 6/27/2018
B
Kansas 9/19/2022
IA
Texas 7/31/2018
B
Kentucky 9/19/2022
B
Utah 9/19/2022
B
Louisiana 8/21/2024
B
Vermont 9/19/2022
B
Maryland 9/19/2022
B
Virgin Islands 1/9/2024
B
Massachusetts 9/19/2022
B
Virginia 6/27/2018
B
Michigan 9/8/2021
B
Washington 9/19/2022
B
Minnesota 9/19/2022
B
West Virginia 1/4/2023
B
Mississippi 1/9/2024
B
Wisconsin 11/19/2020

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)
265 BROOKVIEW CENTRE WAY STE 100, KNOXVILLE, TN 37919
Registered with this firm since 7/31/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
265 BROOKVIEW CENTRE WAY STE 100, KNOXVILLE, TN 37919
Registered with this firm since 6/27/2018
Previous Registration(s)
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B
 09/05/2013 - 06/20/2018 TOUCHSTONE SECURITIES, INC. (CRD#:1526) CINCINNATI, OH
IA
 09/05/2013 - 01/22/2015 TOUCHSTONE ADVISORS INC (CRD#:107028) KNOXVILLE, TN
IA
 08/08/2007 - 09/10/2012 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) KNOXVILLE, TN
B
 03/05/2007 - 09/10/2012 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) KNOXVILLE, TN
B
 06/01/2005 - 03/05/2007 JOHN HANCOCK DISTRIBUTORS LLC (CRD#:5249) BOSTON, MA
B
 01/04/2005 - 03/07/2006 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
IA
 11/04/2004 - 01/20/2005 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
IA
 04/08/2002 - 03/05/2003 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) KNOXVILLE, TN
B
 07/17/2001 - 03/05/2003 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) CHARLOTTE, NC
B
 02/14/2000 - 06/29/2001 AMSOUTH INVESTMENT SERVICES, INC. (CRD#:15692) BIRMINGHAM, AL
B
 02/01/1997 - 02/14/2000 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
B
 06/20/1995 - 02/01/1997 AMERISTAR CAPITAL MARKETS, INC. (CRD#:17068)
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.