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Detailed Report
JAMES FREDERIC CHETWOOD III
ERIC CHETWOOD
CRD#: 4889564
IA
Investment Adviser
B
Broker
ALLWORTH FINANCIAL, L.P.CRD#: 111167 3917 University Drive
Suite 200
Durham, NC 27707
AW SECURITIESCRD#: 103747 3917 University Drive
Suite 200
Durham, NC 27707
Registration History
200620082010201220142016201820202022202420262 FIRMS2015 - 2022 (7 years)2 FIRMS2022 - Present (2 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2005 - 2015 (10 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2006 - 2015 (8 years)
License(s)

State Registrations

B
Arizona 6/6/2022
B
South Carolina 6/6/2022
B
North Carolina 6/1/2022
B
Tennessee 1/30/2024
IA
North Carolina 6/1/2022
B
Virginia 6/6/2022

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)
B
AW SECURITIES (CRD#:103747)
3917 University Drive Suite 200, Durham, NC 27707
3917 University Drive Suite 200, Durham, NC 27707
Registered with this firm since 6/1/2022
IA
ALLWORTH FINANCIAL, L.P. (CRD#:111167)
3917 University Drive Suite 200, Durham, NC 27707
Registered with this firm since 6/1/2022
Previous Registration(s)
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IA
 05/29/2015 - 07/07/2022 ADAMS CHETWOOD WEALTH MANAGEMENT LLC (CRD#:174978) DURHAM, NC
B
 05/29/2015 - 06/02/2022 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Durham, NC
IA
 07/10/2006 - 06/01/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) DURHAM, NC
B
 05/09/2005 - 06/01/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) 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.