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Detailed Report
ROY HERBERT BROWNING JR
CRD#: 33308
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 201 MAIN ST
STE 1700
FORT WORTH, TX 76102
Registration History
197519801985199019952000200520102015202020252 FIRMS2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1977 - 2003 (25 years)BBACHE HALSEY STUART INC. (CRD# 7238)1976 - 1977 (1 year)BBACHE & CO INCORPORATED (CRD# 7058)1976 - 1976 (<1 year)BBACHE & CO., INCORPORATED (CRD# 66)1973 - 1976 (2 years)BWHITE, WELD & CO. INCORPORATED (CRD# 6802)1971 - 1973 (2 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1983 - 2003 (19 years)
License(s)

State Registrations

B
Arizona 7/1/2003
B
Missouri 6/6/2022
B
California 7/1/2003
B
New Jersey 7/1/2003
B
Colorado 1/31/2017
B
North Carolina 11/14/2023
B
Connecticut 7/1/2003
B
Ohio 6/11/2021
B
Florida 9/27/2010
B
Oklahoma 8/10/2012
B
Georgia 3/1/2021
B
Pennsylvania 1/27/2023
B
Illinois 11/14/2023
B
South Carolina 8/20/2024
B
Kansas 2/23/2005
B
Tennessee 8/9/2024
B
Louisiana 7/1/2003
B
Texas 7/1/2003
B
Massachusetts 12/18/2019
IA
Texas 7/1/2003
B
Minnesota 11/14/2023
B
Virginia 5/16/2023

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

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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)
201 MAIN ST STE 1700, FORT WORTH, TX 76102
Registered with this firm since 7/1/2003
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
201 MAIN ST STE 1700, FORT WORTH, TX 76102
Registered with this firm since 7/1/2003
Previous Registration(s)
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IA
 08/23/1983 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) FORT WORTH, TX
B
 09/16/1977 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 08/27/1976 - 09/16/1977 BACHE HALSEY STUART INC. (CRD#:7238)
B
 02/27/1976 - 08/27/1976 BACHE & CO INCORPORATED (CRD#:7058)
B
 10/03/1973 - 02/27/1976 BACHE & CO., INCORPORATED (CRD#:66)
B
 09/27/1971 - 09/27/1973 WHITE, WELD & CO. INCORPORATED (CRD#:6802)
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.