Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KRISTIN NICOLE CAMPBELL
KRISTIN NICOLE DOZIER
CRD#: 4817906
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 7300 S HULEN ST
FORT WORTH, TX 76133
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2013 - Present (11 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2013 (<1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2008 - 2013 (5 years)BFIRST COMMAND FINANCIAL PLANNI... (CRD# 3641)2004 - 2005 (1 year)IABBVA WEALTH SOLUTIONS INC. (CRD# 110476)2010 - 2013 (2 years)IAST JOHNS WEALTH MANAGEMENT (CRD# 105564)2010 - 2010 (<1 year)IABBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2008 - 2010 (1 year)
Disclosure(s)
View By:
3/25/2015
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
California 3/6/2020
B
New Mexico 6/18/2015
B
Colorado 9/11/2018
B
North Carolina 10/27/2022
B
Florida 6/26/2020
B
Texas 5/20/2013
B
Mississippi 6/8/2021
IA
Texas 5/20/2013

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)
7300 S HULEN ST, FORT WORTH, TX 76133
4533 BELLAIRE DR S, FORT WORTH, TX 76109
Registered with this firm since 5/20/2013
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
7300 S HULEN ST, FORT WORTH, TX 76133
4533 BELLAIRE DR S, FORT WORTH, TX 76109
Registered with this firm since 5/20/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/15/2010 - 05/20/2013 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) HOUSTON, TX
B
 05/16/2013 - 05/20/2013 BBVA SECURITIES INC. (CRD#:27060) FORT WORTH, TX
B
 05/14/2008 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) FORT WORTH, TX
IA
 04/01/2010 - 10/15/2010 ST JOHNS WEALTH MANAGEMENT (CRD#:105564) AZLE, TX
IA
 05/14/2008 - 03/10/2010 BBVA COMPASS INVESTMENT SOLUTIONS, INC. (CRD#:17086) FORT WORTH, TX
IA
 05/21/2007 - 05/14/2008 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) FORT WORTH, TX
B
 05/21/2007 - 05/14/2008 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) FORT WORTH, TX
IA
 12/02/2005 - 05/14/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FORT WORTH, TX
B
 12/02/2005 - 05/14/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FORT WORTH, TX
IA
 09/02/2005 - 11/14/2005 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) FORT WORTH, TX
B
 08/18/2004 - 11/14/2005 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) FORT WORTH, TX
IA
 01/04/2005 - 09/02/2005 FIRST COMMAND BANK (CRD#:128851) FORT WORTH, TX
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.