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BENJAMIN L HARGETT
BENJAMIN LAWRENCE HARGETT
CRD#: 2979778
IA
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WELLS FARGO ADVISORSCRD#: 19616 401 S TRYON STREET
CHARLOTTE, NC 28202
CHARLOTTE, NC 28202
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Disclosures
10
Years of Experience
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State Registrations
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North Carolina 8/25/2022
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North Carolina 9/30/2022
SRO Registrations
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Registered with this firm since 8/25/2022
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Registered with this firm since 8/25/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/08/2020 - 04/29/2022 | FORT MILL, SC | |
B | 08/24/2017 - 04/29/2022 | FORT MILL, SC | |
B | 05/04/2006 - 06/13/2006 | CHARLOTTE, NC | |
IA | 04/23/2003 - 06/30/2004 | HEATHROW, FL | |
B | 11/07/2002 - 06/30/2004 | LAKE MARY, FL | |
B | 10/03/2000 - 02/22/2002 | CHARLOTTE, NC |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.