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Detailed Report
JON CHRISTOPHER COCKERHAM
CHRIS COCKERHAM
CRD#: 5134713
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 515 N MADISON BLVD
ROXBORO, NC 27573
Registration History
200620082010201220142016201820202022202420262 FIRMS2019 - Present (5 years)BSUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2015 - 2017 (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2006 - 2015 (8 years)IASUNTRUST ADVISORY SERVICES, INC. (CRD# 283390)2016 - 2017 (<1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2015 - 2016 (1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2012 - 2015 (2 years)
Disclosure(s)
View By:
3/9/2017
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 6/21/2023
IA
North Carolina 8/12/2019
B
Florida 10/1/2019
B
South Carolina 10/3/2019
B
Louisiana 10/2/2019
B
Texas 3/14/2024
B
North Carolina 8/9/2019
B
Virginia 10/4/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
515 N MADISON BLVD, ROXBORO, NC 27573
2000 W MAIN ST, DURHAM, NC 27705
Registered with this firm since 8/12/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
515 N MADISON BLVD, ROXBORO, NC 27573
2000 W MAIN ST, DURHAM, NC 27705
Registered with this firm since 7/18/2019
Previous Registration(s)
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IA
 09/14/2016 - 03/22/2017 SUNTRUST ADVISORY SERVICES, INC. (CRD#:283390) CHAPEL HILL, NC
B
 06/03/2015 - 03/22/2017 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) HILLSBOROUGH, NC
IA
 06/03/2015 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) HILLSBOROUGH, NC
IA
 10/04/2012 - 05/12/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROXBORO, NC
B
 11/09/2006 - 05/12/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROXBORO, 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.