Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOHN P GLYNN III
JOHN PRESTON GLYNN III, JOHN PRESTON GLYNN, JOHN GLYNN
CRD#: 2708294
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 Ellison Bay, WI
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2022 (8 years)2 FIRMS2022 - Present (3 years)
License(s)

State Registrations

B
Arizona 3/7/2022
B
North Carolina 3/7/2022
B
California 10/1/2024
B
Ohio 3/7/2022
B
Colorado 3/7/2022
B
Oklahoma 7/21/2022
B
Florida 3/7/2022
B
Puerto Rico 7/12/2022
IA
Florida 1/16/2025
B
South Carolina 3/7/2022
B
Georgia 3/7/2022
B
Texas 3/7/2022
B
Illinois 3/7/2022
IA
Texas 3/7/2022
IA
Illinois 3/7/2022
B
Utah 1/5/2024
B
Indiana 6/1/2023
B
Vermont 1/14/2025
B
Kansas 3/7/2022
B
Washington 2/8/2024
B
Massachusetts 3/7/2022
B
Wisconsin 3/7/2022
B
Michigan 3/7/2022
IA
Wisconsin 11/30/2023
B
New Jersey 3/7/2022
B
Wyoming 8/6/2024
B
New York 3/7/2022

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

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)
Ellison Bay, WI
WILMETTE, IL
Registered with this firm since 3/7/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
Ellison Bay, WI
WILMETTE, IL
Registered with this firm since 3/7/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/26/2013 - 03/25/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
 07/26/2013 - 03/25/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
IA
 06/01/2009 - 08/21/2013 MORGAN STANLEY (CRD#:149777) GLENVIEW, IL
B
 06/01/2009 - 08/21/2013 MORGAN STANLEY (CRD#:149777) GLENVIEW, IL
IA
 04/26/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENVIEW, IL
B
 04/02/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENVIEW, IL
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.