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Detailed Report
HAROLD D JOINES
DAVID JOINES, HAROLD DAVID JOINES
CRD#: 4204075
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 265 BROOKVIEW CENTRE WAY
STE 100
KNOXVILLE, TN 37919
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2007 (6 years)IAMORGAN STANLEY (CRD# 7556)2004 - 2007 (3 years)
License(s)

State Registrations

B
Alabama 12/17/2019
B
Ohio 12/11/2020
B
Delaware 2/10/2020
B
South Carolina 2/24/2010
B
Florida 2/10/2020
B
Tennessee 1/30/2009
B
Georgia 1/30/2009
IA
Tennessee 2/3/2009
B
Mississippi 1/30/2009
B
Virginia 6/20/2016
B
North Carolina 7/20/2016
B
Washington 11/14/2024

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)
265 BROOKVIEW CENTRE WAY STE 100, KNOXVILLE, TN 37919
MARYVILLE, TN
Registered with this firm since 2/3/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
265 BROOKVIEW CENTRE WAY STE 100, KNOXVILLE, TN 37919
MARYVILLE, TN
Registered with this firm since 1/30/2009
Previous Registration(s)
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IA
 04/02/2007 - 02/05/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) KNOXVILLE, TN
B
 04/02/2007 - 02/05/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) KNOXVILLE, TN
IA
 02/02/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) KNOXVILLE, TN
B
 08/02/2000 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) KNOXVILLE, TN
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.