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Detailed Report
HEATHER BRANCH
HEATHER ANNE BRANCH, HEATHER ANNE CARPENTER, HEATHER ANNE JONES
CRD#: 2890648
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2535 US HWY 98 2ND FL
DAPHNE, AL 36526
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2011 (2 years)2 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2018 (4 years)2 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - Present (5 years)BEDWARD JONES (CRD# 250)2011 - 2012 (1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2019 - 2019 (<1 year)IAEDWARD JONES (CRD# 250)2012 - 2012 (<1 year)
Disclosure(s)
View By:
5/15/2018
Financial
Final
5/15/2018
Financial
Final
5/15/2018
Financial
Final
5/15/2018
Financial
Final
5/15/2018
Financial
Final
5/15/2018
Financial
Final
5/15/2018
Financial
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5/15/2018
Financial
Final
5/15/2018
Financial
Final
License(s)

State Registrations

B
Alabama 5/30/2019
B
Missouri 1/28/2020
IA
Alabama 5/30/2019
B
Nevada 12/20/2019
B
Alaska 12/13/2019
B
New Jersey 10/6/2021
B
Arizona 1/22/2020
B
New Mexico 9/13/2022
B
Arkansas 12/12/2019
B
New York 6/10/2021
B
California 12/12/2019
B
North Carolina 1/2/2020
B
Colorado 1/3/2020
B
Ohio 12/12/2019
B
Connecticut 12/12/2019
B
Oklahoma 8/28/2023
B
District of Columbia 2/28/2024
B
Oregon 7/19/2023
B
Florida 12/12/2019
B
Pennsylvania 12/12/2019
B
Georgia 12/12/2019
B
Rhode Island 12/20/2022
B
Idaho 12/13/2019
B
South Carolina 12/12/2019
B
Illinois 10/16/2020
B
South Dakota 12/17/2019
B
Indiana 1/9/2020
B
Tennessee 12/12/2019
B
Iowa 12/12/2019
B
Texas 12/12/2019
B
Kansas 12/17/2019
IA
Texas 12/12/2019
B
Kentucky 12/22/2023
B
Virginia 12/12/2019
B
Louisiana 12/12/2019
B
Washington 2/12/2020
B
Maryland 11/12/2021
B
West Virginia 12/23/2019
B
Michigan 8/28/2023
B
Wisconsin 7/6/2023
B
Minnesota 12/12/2019
B
Wyoming 5/20/2022
B
Mississippi 12/12/2019

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)
2535 US HWY 98 2ND FL, DAPHNE, AL 36526
Registered with this firm since 5/30/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2535 US HWY 98 2ND FL, DAPHNE, AL 36526
Registered with this firm since 5/8/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/08/2019 - 05/08/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 12/04/2018 - 04/26/2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) MOBILE, AL
B
 12/04/2018 - 04/26/2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) MOBILE, AL
IA
 02/13/2014 - 11/27/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) DECATUR, AL
B
 02/13/2014 - 11/27/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) DECATUR, AL
IA
 11/01/2012 - 02/21/2014 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) CULLMAN, AL
B
 11/01/2012 - 02/21/2014 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) CULLMAN, AL
IA
 02/07/2012 - 11/01/2012 EDWARD JONES (CRD#:250) DECATUR, AL
B
 03/24/2011 - 11/01/2012 EDWARD JONES (CRD#:250) DECATUR, AL
IA
 12/23/2008 - 02/08/2011 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) DECATUR, AL
B
 07/03/2008 - 02/08/2011 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) DECATUR, AL
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.