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
JANET S WILLIAMS
JANET LYNN GARWOOD STUPICA, JANET L STUPICA, JANET LYNN STUPICA, Janet LYNN Williams, Janet S Williams
CRD#: 2996626
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 400 MERCHANT ST
HILTON HEAD ISLAND, SC 29926
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2009 (8 years)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2023 (12 years)2 FIRMS2023 - Present (1 year)BTHE ROBINSON-HUMPHREY COMPANY, LLC (CRD# 723)1998 - 2001 (3 years)
License(s)

State Registrations

B
Arizona 3/7/2025
B
New Hampshire 7/5/2023
B
Arkansas 7/5/2023
B
New Jersey 7/5/2023
B
California 7/5/2023
B
New Mexico 7/5/2023
B
Colorado 7/5/2023
B
New York 7/5/2023
B
Connecticut 7/5/2023
B
North Carolina 7/5/2023
B
Delaware 7/5/2023
B
Ohio 1/10/2025
B
District of Columbia 2/19/2025
B
Oregon 7/5/2023
B
Florida 7/5/2023
B
Pennsylvania 7/5/2023
B
Georgia 7/5/2023
B
Rhode Island 7/5/2023
B
Hawaii 7/5/2023
B
South Carolina 7/5/2023
B
Illinois 7/5/2023
IA
South Carolina 7/5/2023
B
Indiana 7/5/2023
B
Texas 7/5/2023
B
Maryland 7/5/2023
IA
Texas 7/5/2023
B
Massachusetts 7/5/2023
B
Virginia 7/5/2023
B
Michigan 7/5/2023
B
West Virginia 7/5/2023
B
Minnesota 7/5/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, 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)
400 MERCHANT ST, HILTON HEAD ISLAND, SC 29926
Registered with this firm since 7/5/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
400 MERCHANT ST, HILTON HEAD ISLAND, SC 29926
Registered with this firm since 7/5/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/24/2011 - 07/06/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HILTON HEAD ISLAND, SC
B
 01/21/2011 - 07/06/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HILTON HEAD ISLAND, SC
IA
 06/01/2009 - 02/01/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) HILTON HEAD, SC
B
 06/01/2009 - 02/01/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) HILTON HEAD, SC
IA
 04/24/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HILTON HEAD, SC
B
 03/14/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HILTON HEAD, SC
B
 01/23/1998 - 03/29/2001 THE ROBINSON-HUMPHREY COMPANY, LLC (CRD#:723) ATLANTA, GA
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.