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Detailed Report
WESLEY J. GARNER
WESLEY J GARNER, WESLEY JOHNSTON GARNER, Wes J Garner, Wes Johnston Garner, Wes Garner…
CRD#: 4298259
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1 IKEA-RBFCU Pkwy
Live Oak, TX 78233-2792
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2011 (8 years)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2014 - 2023 (9 years)2 FIRMS2023 - Present (1 year)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2014 (<1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2011 - 2013 (1 year)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2002 (1 year)BEDWARD JONES (CRD# 250)2001 - 2001 (<1 year)IABBVA WEALTH SOLUTIONS INC. (CRD# 110476)2011 - 2014 (2 years)
License(s)

State Registrations

B
Arkansas 4/5/2023
B
Michigan 4/5/2023
B
Colorado 4/10/2023
B
New Mexico 4/5/2023
B
District of Columbia 4/5/2023
B
Texas 4/5/2023
B
Hawaii 4/5/2023
IA
Texas 4/5/2023
B
Idaho 4/5/2023
B
Virginia 4/10/2023
B
Maryland 4/5/2023
B
Washington 4/5/2023
B
Massachusetts 4/5/2023

SRO Registrations

B
 FINRA

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
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
1 IKEA-RBFCU Pkwy, Live Oak, TX 78233-2792
8300 N Mopac Expy Ste 100, Austin, TX 78759
Registered with this firm since 4/5/2023
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
1 IKEA-RBFCU Pkwy, Live Oak, TX 78233-2792
8300 N Mopac Expy Ste 100, Austin, TX 78759
Registered with this firm since 4/5/2023
Previous Registration(s)
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IA
 01/15/2014 - 04/06/2023 LPL FINANCIAL LLC (CRD#:6413) LAKE JACKSON, TX
B
 01/15/2014 - 04/06/2023 LPL FINANCIAL LLC (CRD#:6413) LAKE JACKSON, TX
IA
 12/13/2011 - 01/16/2014 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) AUSTIN, TX
B
 05/16/2013 - 01/16/2014 BBVA SECURITIES INC. (CRD#:27060) AUSTIN, TX
B
 12/12/2011 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) LAKEWAY, TX
IA
 03/01/2011 - 11/23/2011 LPL FINANCIAL LLC (CRD#:6413) LAKE JACKSON, TX
B
 03/01/2011 - 11/23/2011 LPL FINANCIAL LLC (CRD#:6413) LAKE JACKSON, TX
IA
 11/15/2002 - 03/02/2011 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) LAKE JACKSON, TX
B
 11/15/2002 - 03/02/2011 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) LAKE JACKSON, TX
B
 07/16/2001 - 11/11/2002 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 01/01/2001 - 06/28/2001 EDWARD JONES (CRD#:250) ST. LOUIS, MO
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.