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Detailed Report
JAMES RICHARD JULIAN
JIM JULIAN
CRD#: 3139336
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10850 E TRAVERSE HWY
STE 5575
TRAVERSE CITY, MI 49684
Registration History
20002002200420062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2010 - Present (14 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1999 - 2008 (8 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2001 - 2005 (4 years)
License(s)

State Registrations

B
Alabama 6/11/2019
B
Minnesota 6/11/2019
B
Arizona 11/29/2010
B
Missouri 5/1/2019
B
Arkansas 6/11/2019
B
Nevada 6/11/2019
B
California 1/1/2008
B
New Jersey 2/10/2023
B
Colorado 1/1/2008
B
New Mexico 6/11/2019
B
Delaware 8/9/2023
B
New York 4/26/2021
B
Florida 1/1/2008
B
North Carolina 6/10/2015
B
Georgia 1/1/2008
B
Ohio 6/3/2015
B
Hawaii 6/29/2022
B
Oregon 7/20/2017
B
Idaho 9/14/2018
B
Pennsylvania 6/5/2015
B
Illinois 5/20/2009
B
South Carolina 6/11/2019
B
Indiana 6/5/2023
B
Tennessee 6/11/2019
B
Kentucky 6/11/2019
B
Texas 5/20/2009
B
Louisiana 1/8/2020
B
Utah 10/12/2023
B
Maryland 3/12/2008
B
Virginia 11/22/2024
B
Massachusetts 4/13/2020
B
Washington 1/1/2008
B
Michigan 1/1/2008
B
Wisconsin 2/1/2021
IA
Michigan 10/12/2010

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

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)
10850 E TRAVERSE HWY STE 5575, TRAVERSE CITY, MI 49684
Registered with this firm since 10/12/2010
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10850 E TRAVERSE HWY STE 5575, TRAVERSE CITY, MI 49684
Registered with this firm since 1/1/2008
Previous Registration(s)
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B
 04/28/1999 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) TRAVERSE CITY, MI
IA
 03/29/2001 - 03/04/2005 A. G. EDWARDS & SONS, INC. (CRD#:4) TRAVERSE CITY, MI
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.