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
JOHN MURNAN RICHARDS
CRD#: 4016237
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6000 FAIRVIEW RD STE 800
CHARLOTTE, NC 28210
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - Present (19 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2006 (6 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2006 (4 years)
License(s)

State Registrations

B
Alabama 8/5/2022
B
Michigan 12/10/2024
B
Arkansas 10/15/2012
B
Minnesota 12/12/2022
B
Colorado 3/10/2006
B
New York 3/10/2006
B
Connecticut 10/18/2024
B
North Carolina 3/10/2006
B
District of Columbia 8/5/2020
IA
North Carolina 3/10/2006
B
Florida 3/10/2006
B
Pennsylvania 8/21/2019
B
Georgia 3/10/2006
B
South Carolina 3/10/2006
B
Illinois 8/12/2021
B
Tennessee 6/14/2022
B
Maryland 9/17/2008
B
Texas 3/10/2006
B
Massachusetts 5/29/2019
B
Virginia 10/24/2024

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)
6000 FAIRVIEW RD STE 800, CHARLOTTE, NC 28210
Registered with this firm since 3/10/2006
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6000 FAIRVIEW RD STE 800, CHARLOTTE, NC 28210
Registered with this firm since 3/10/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/31/2001 - 03/23/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHARLOTTE, NC
B
 10/15/1999 - 03/23/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHARLOTTE, NC
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.