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
GRACE ADAMS COOK
GRACE A COOK
CRD#: 3263392
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2501 20TH PL S STE 350
BIRMINGHAM, AL 35223
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (3 years)2 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2004 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1999 - 2001 (1 year)
License(s)

State Registrations

B
Alabama 1/1/2008
B
Missouri 2/3/2020
IA
Alabama 1/1/2008
B
Nevada 1/9/2024
B
Arizona 2/26/2009
B
New York 2/26/2009
B
Arkansas 10/31/2018
B
North Carolina 2/27/2009
B
California 2/26/2009
B
Oklahoma 3/25/2021
B
Colorado 2/26/2009
B
Oregon 6/28/2023
B
Florida 2/26/2009
B
Pennsylvania 2/26/2009
B
Georgia 2/26/2009
B
South Carolina 2/26/2009
B
Illinois 1/13/2021
B
Tennessee 2/26/2009
B
Louisiana 7/29/2020
B
Texas 2/26/2009
B
Maine 2/26/2009
IA
Texas 9/20/2016
B
Maryland 2/26/2009
B
Washington 11/6/2023
B
Massachusetts 2/26/2009
B
Wisconsin 2/11/2015
B
Mississippi 2/26/2009

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)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
BIRMINGHAM, AL
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
BIRMINGHAM, AL
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/12/2005 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) BIRMINGHAM, AL
IA
 07/28/2005 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) BIRMINGHAM, AL
B
 04/18/2002 - 01/28/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 10/11/1999 - 01/24/2001 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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.