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Detailed Report
JAMES BRENDAN MCCALL
CRD#: 5184737
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 150 E 42ND ST 41ST & 42ND FLS
NEW YORK, NY 10017
Registration History
20082010201220142016201820202022202420262 FIRMS2020 - Present (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - 2020 (8 years)BGOLDMAN, SACHS & CO. (CRD# 361)2009 - 2012 (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - 2009 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2015 - 2020 (4 years)
License(s)

State Registrations

B
New Jersey 12/21/2020
B
New York 12/21/2020
IA
New Jersey 12/22/2020
IA
New York 7/23/2021

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)
150 E 42ND ST 41ST & 42ND FLS, NEW YORK, NY 10017
Registered with this firm since 12/22/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
150 E 42ND ST 41ST & 42ND FLS, NEW YORK, NY 10017
Registered with this firm since 12/21/2020
Previous Registration(s)
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IA
 05/11/2015 - 02/25/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 02/27/2012 - 02/25/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 10/05/2009 - 02/24/2012 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
B
 05/21/2007 - 05/13/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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.