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BENJAMIN DAVID SPIKER
CRD#: 2998105
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 180 ADMIRAL COCHRANE DRIVE SUITE 210
[SATELLITE]
ANNAPOLIS, MD 21401
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2017 (11 years)2 FIRMS2017 - Present (7 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2006 (4 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1999 - 2001 (2 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1998 - 1999 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2006 (4 years)
Disclosure(s)
View By:
3/21/2014
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 6/15/2018

B
Mississippi 9/22/2017

B
Alaska 1/26/2021

B
Missouri 9/22/2017

B
Arizona 9/22/2017

B
Montana 9/22/2017

B
Arkansas 9/22/2017

B
Nevada 9/22/2017

B
California 9/22/2017

B
New Hampshire 9/25/2017

B
Colorado 9/22/2017

B
New Jersey 9/22/2017

B
Connecticut 9/22/2017

B
New Mexico 1/26/2021

B
Delaware 9/22/2017

B
New York 9/22/2017

B
District of Columbia 9/22/2017

B
North Carolina 9/22/2017

B
Florida 9/22/2017

B
Ohio 9/22/2017

B
Georgia 9/26/2017

B
Oregon 9/22/2017

B
Hawaii 1/26/2021

B
Pennsylvania 9/22/2017

B
Idaho 1/26/2021

B
Rhode Island 11/1/2024

B
Illinois 9/25/2017

B
South Carolina 9/22/2017

B
Indiana 9/22/2017

B
South Dakota 10/8/2020

B
Iowa 9/22/2017

B
Tennessee 9/22/2017

B
Kansas 1/26/2021

B
Texas 9/22/2017

B
Kentucky 4/14/2023

IA
Texas 9/22/2017

B
Louisiana 9/22/2017

B
Utah 9/22/2017

B
Maine 3/15/2022

B
Vermont 4/14/2023

B
Maryland 9/22/2017

B
Virginia 9/22/2017

IA
Maryland 9/22/2017

B
Washington 9/22/2017

B
Massachusetts 9/22/2017

B
West Virginia 9/22/2017

B
Michigan 9/22/2017

B
Wisconsin 9/22/2017

B
Minnesota 10/3/2017

B
Wyoming 7/24/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
180 ADMIRAL COCHRANE DRIVE SUITE 210 [SATELLITE], ANNAPOLIS, MD 21401
Registered with this firm since 9/22/2017

B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
180 ADMIRAL COCHRANE DRIVE SUITE 210 [SATELLITE], ANNAPOLIS, MD 21401
Registered with this firm since 9/22/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/13/2006 - 09/26/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ANNAPOLIS, MD
B
01/13/2006 - 09/26/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ANNAPOLIS, MD
IA
01/01/2002 - 02/01/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BALTIMORE, MD
B
12/18/2001 - 02/01/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BALTIMORE, MD
B
04/14/1999 - 12/17/2001 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
10/15/1998 - 04/09/1999 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
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Broker
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Investment Adviser
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.