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Detailed Report
JAMES EDWARD HARRIS
ED HARRIS, J. EDWARD HARRIS DDS, J. EDWARD HARRIS, JAMES E. HARRIS
CRD#: 4004078
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 401 CYPRESS ST STE 100
FIRST FINANCIAL WEST BLDG
ABILENE, TX 79601
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - Present (7 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2014 - 2016 (1 year)BAUL EQUITY SALES CORP. (CRD# 4173)1999 - 1999 (<1 year)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2016 - 2016 (<1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2010 - 2014 (4 years)IAGREENBOOK INVESTMENT MANAGEMEN... (CRD# 131563)2005 - 2010 (5 years)IAXELAN FINANCIAL PLANNING, INC. (CRD# 123794)2003 - 2004 (1 year)IAXELAN INVESTMENT SERVICES, INC. (CRD# 111870)2002 - 2003 (<1 year)
Disclosure(s)
View By:
9/11/2014
Judgment / Lien
7/1/2008
Customer Dispute
Settled
7/1/2004
Customer Dispute
Pending
License(s)

State Registrations

B
Alabama 1/2/2017
B
Louisiana 10/30/2017
B
Arizona 9/22/2020
B
Missouri 11/21/2017
B
California 1/4/2018
B
Montana 2/2/2018
B
Colorado 11/30/2022
B
Nebraska 2/6/2018
B
Florida 11/29/2017
B
New Jersey 9/25/2020
B
Georgia 11/3/2022
B
Oklahoma 10/31/2017
B
Idaho 9/15/2020
IA
Texas 8/7/2017
B
Indiana 2/5/2018
B
Texas 8/14/2017
B
Iowa 12/18/2017
B
Virginia 2/8/2018
B
Kansas 12/6/2017

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)
401 CYPRESS ST STE 100 FIRST FINANCIAL WEST BLDG, ABILENE, TX 79601
Registered with this firm since 8/7/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
401 CYPRESS ST STE 100 FIRST FINANCIAL WEST BLDG, ABILENE, TX 79601
Registered with this firm since 8/7/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/23/2016 - 09/06/2017 SOUTHWESTERN ADVISORY GROUP (CRD#:282950) STEPHENVILLE, TX
B
 03/23/2016 - 08/08/2017 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Stephenville, TX
IA
 01/19/2016 - 03/11/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) STEPHENVILLE, TX
B
 10/14/2014 - 03/11/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) STEPHENVILLE, TX
IA
 09/30/2010 - 11/12/2014 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) ABILENE, TX
IA
 02/10/2005 - 10/07/2010 GREENBOOK INVESTMENT MANAGEMENT, INC. (CRD#:131563) ABILENE, TX
IA
 01/13/2003 - 12/31/2004 XELAN FINANCIAL PLANNING, INC. (CRD#:123794) ABILENE, TX
IA
 02/12/2002 - 01/15/2003 XELAN INVESTMENT SERVICES, INC. (CRD#:111870) ABILENE, TX
B
 10/01/1999 - 11/11/1999 AUL EQUITY SALES CORP. (CRD#:4173) INDIANAPOLIS, IN
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.