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Detailed Report
BRIAN HARKNESS WELLS
BRIAN H WELLS
CRD#: 2805467
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 300B Drakes Landing Road
STE 155
Greenbrae, CA 94904
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2014 (4 years)2 FIRMS2014 - 2023 (9 years)2 FIRMS2023 - Present (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2008 (5 years)BUBS PAINEWEBBER INC. (CRD# 8174)1998 - 2002 (4 years)BBEAR, STEARNS & CO. INC. (CRD# 79)1998 - 1998 (<1 year)
License(s)

State Registrations

B
California 9/20/2023
B
New Jersey 9/20/2023
IA
California 9/21/2023
B
New York 9/20/2023
B
Colorado 9/20/2023
B
North Carolina 9/20/2023
B
Connecticut 9/20/2023
B
Ohio 9/20/2023
B
Florida 9/20/2023
B
Pennsylvania 9/20/2023
B
Idaho 9/20/2023
B
Rhode Island 9/20/2023
B
Illinois 9/20/2023
B
Texas 9/20/2023
B
Maine 9/20/2023
IA
Texas 9/20/2023
B
Maryland 7/1/2024
B
Utah 9/20/2023
B
Massachusetts 9/20/2023
B
Vermont 9/20/2023
B
Missouri 11/2/2023
B
Virgin Islands 9/20/2023
B
Montana 9/20/2023
IA
Virgin Islands 9/25/2023
B
New Hampshire 9/20/2023
B
Virginia 9/20/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, 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
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Greenbrae, CA
Registered with this firm since 9/20/2023
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Greenbrae, CA
Registered with this firm since 9/20/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/17/2014 - 10/02/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOSTON, MA
B
 01/17/2014 - 10/02/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOSTON, MA
IA
 06/01/2009 - 01/23/2014 MORGAN STANLEY (CRD#:149777) BOSTON, MA
B
 06/01/2009 - 01/23/2014 MORGAN STANLEY (CRD#:149777) BOSTON, MA
IA
 08/05/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BOSTON, MA
B
 06/20/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BOSTON, MA
B
 12/03/2002 - 07/02/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOSTON, MA
B
 08/12/1998 - 12/20/2002 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
 01/20/1998 - 08/14/1998 BEAR, STEARNS & CO. INC. (CRD#:79) 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.