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Detailed Report
KELBY WILLIAM BROWN
KELBY W BROWN
CRD#: 4460879
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 550 S TRYON ST 44TH & 45TH FLS
CHARLOTTE, NC 28202
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2004 - 2006 (1 year)2 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - Present (17 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2001 - 2004 (2 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2002 - 2004 (2 years)
License(s)

State Registrations

B
Alaska 5/27/2011
B
Montana 4/4/2025
B
California 11/5/2007
B
New Jersey 3/19/2025
B
Colorado 5/17/2018
B
New York 2/6/2020
B
Connecticut 6/18/2021
B
North Carolina 11/5/2007
B
Florida 11/5/2007
IA
North Carolina 11/5/2007
B
Georgia 11/5/2007
B
Ohio 1/12/2017
B
Idaho 6/21/2017
B
South Carolina 11/5/2007
B
Indiana 10/13/2016
B
Tennessee 4/4/2025
B
Kentucky 4/8/2014
B
Texas 10/30/2020
B
Maine 10/1/2024
IA
Texas 11/2/2020
B
Maryland 3/27/2015
B
Utah 10/30/2020
B
Massachusetts 1/17/2024
B
Virginia 8/30/2016
B
Michigan 12/10/2024
B
Washington 8/5/2024
B
Minnesota 1/9/2015
B
West Virginia 4/4/2025
B
Missouri 9/22/2020

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)
550 S TRYON ST 44TH & 45TH FLS, CHARLOTTE, NC 28202
HILLSBOROUGH, NC
Registered with this firm since 11/5/2007
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
550 S TRYON ST 44TH & 45TH FLS, CHARLOTTE, NC 28202
HILLSBOROUGH, NC
Registered with this firm since 11/5/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/21/2006 - 11/15/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 02/21/2006 - 11/15/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
 09/03/2004 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) CHARLOTTE-SOUTH PARK, NC
B
 09/03/2004 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
IA
 02/28/2002 - 09/08/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) CHARLOTTE, NC
B
 11/21/2001 - 09/08/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.