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Detailed Report
HELEN MARIE TAYLOR RILEY
HELEN MARIE TAYLOR CHISM, MARIE TAYLOR CHISM, H MARIE T RILEY, HELEN MARIE T RILEY, MARIE TAYLOR RILEY…
CRD#: 4512217
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6752 PARKER FARM DR STE 300
[FJ-RBO]
WILMINGTON, NC 28405
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (3 years)2 FIRMS2008 - Present (17 years)BNCF FINANCIAL SERVICES, INC. (CRD# 120471)2002 - 2005 (2 years)IANCF FINANCIAL SERVICES, INC. (CRD# 120471)2003 - 2005 (1 year)
License(s)

State Registrations

B
Alabama 5/26/2016
B
New York 1/5/2015
B
Arizona 1/12/2021
B
North Carolina 1/24/2008
B
California 6/10/2020
IA
North Carolina 1/24/2008
B
Colorado 1/24/2011
B
Ohio 7/16/2019
B
Connecticut 8/11/2009
B
Oklahoma 5/26/2020
B
Delaware 4/29/2020
B
Pennsylvania 4/6/2009
B
Florida 1/24/2008
B
Rhode Island 3/18/2020
B
Georgia 1/24/2008
B
South Carolina 1/24/2008
B
Kansas 6/22/2020
B
Tennessee 8/23/2023
B
Kentucky 2/10/2021
B
Texas 4/8/2020
B
Louisiana 4/7/2021
IA
Texas 4/8/2020
B
Maryland 12/1/2015
B
Vermont 6/24/2020
B
Massachusetts 8/8/2012
B
Virginia 1/24/2008
B
Michigan 12/23/2020
B
Washington 7/15/2020
B
New Jersey 4/6/2009
B
West Virginia 1/12/2021
B
New Mexico 8/2/2013
B
Wisconsin 6/28/2010

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)
6752 PARKER FARM DR STE 300 [FJ-RBO], WILMINGTON, NC 28405
Registered with this firm since 1/24/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6752 PARKER FARM DR STE 300 [FJ-RBO], WILMINGTON, NC 28405
Registered with this firm since 1/24/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2005 - 02/22/2008 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) WILMINGTON, NC
B
 01/03/2005 - 02/22/2008 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) WILMINGTON, NC
IA
 02/05/2003 - 01/03/2005 NCF FINANCIAL SERVICES, INC. (CRD#:120471) WILMINGTON, NC
B
 12/10/2002 - 01/03/2005 NCF FINANCIAL SERVICES, INC. (CRD#:120471) DURHAM, 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.