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Detailed Report
DONALD LEE MONROE
DONALD L MONROE, DONALD LEE MONROE JR
CRD#: 4206408
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10400 LITTLE PATUXENT PKWY
STE G3
COLUMBIA, MD 21044
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2010 - 2013 (2 years)IAWELLS FARGO ADVISORS (CRD# 19616)2017 - Present (8 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - Present (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2010 (<1 year)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2000 - 2009 (9 years)
Disclosure(s)
View By:
8/11/2017
Financial
Final
8/11/2017
Financial
Final
License(s)

State Registrations

B
District of Columbia 12/22/2016
IA
Maryland 1/23/2017
B
Florida 8/8/2023
B
Virginia 1/17/2017
B
Maryland 12/21/2016

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)
10400 LITTLE PATUXENT PKWY STE G3, COLUMBIA, MD 21044
Registered with this firm since 1/23/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10400 LITTLE PATUXENT PKWY STE G3, COLUMBIA, MD 21044
Registered with this firm since 12/20/2016
Previous Registration(s)
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IA
 11/29/2010 - 09/12/2013 MORGAN STANLEY (CRD#:149777) BETHESDA, MD
B
 10/28/2010 - 09/12/2013 MORGAN STANLEY (CRD#:149777) BETHESDA, MD
B
 10/23/2009 - 09/27/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WASHINGTON, DC
B
 07/28/2000 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ANNAPOLIS, MD
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.