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Detailed Report
EDWARD JOSEPH MOFFITT
EDWARD J MOFFITT
CRD#: 2976584
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 138 CONANT ST 4TH FL
BEVERLY, MA 01915
Registration History
199820002002200420062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2016 - Present (8 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2013 - Present (11 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2008 - 2013 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2008 (11 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2013 - 2014 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2008 (2 years)
Disclosure(s)
View By:
11/22/2019
Customer Dispute
Denied
License(s)

State Registrations

B
California 7/16/2013
B
Massachusetts 7/16/2013
B
Connecticut 7/11/2022
B
Minnesota 11/16/2017
B
Florida 7/16/2013
B
Nebraska 7/22/2024
IA
Florida 3/20/2020
B
New Hampshire 7/16/2013
B
Idaho 10/1/2024
IA
New Hampshire 11/8/2019
B
Illinois 7/16/2013
B
New Jersey 8/30/2013
B
Indiana 2/23/2018
B
New York 7/16/2013
B
Kansas 10/12/2016
B
Ohio 2/26/2023
B
Louisiana 2/9/2021
B
Virginia 7/16/2013
B
Maine 9/8/2016
B
Wisconsin 7/16/2013

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

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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)
138 CONANT ST 4TH FL, BEVERLY, MA 01915
Registered with this firm since 6/16/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
138 CONANT ST 4TH FL, BEVERLY, MA 01915
Registered with this firm since 7/16/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/27/2013 - 12/31/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) ST. PETERSBURG, FL
B
 12/05/2008 - 07/22/2013 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) WELLESLEY HILLS, MA
IA
 11/29/2006 - 12/10/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BURLINGTON, MA
B
 12/10/1997 - 12/10/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BURLINGTON, MA
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.