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JAMES ALFRED OLIVER
JAMES A OLIVER, JAMES ALFRED OLIVER JR.
CRD#: 5276969
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2115 BLACK ROCK TPKE
FAIRFIELD, CT 06825
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
California 3/1/2016

B
New Jersey 3/1/2016

B
Colorado 3/1/2016

B
New York 3/1/2016

B
Connecticut 3/1/2016

B
North Carolina 3/1/2016

IA
Connecticut 3/1/2016

B
South Carolina 3/1/2016

B
Delaware 3/1/2016

B
Texas 1/10/2025

B
Florida 3/1/2016

IA
Texas 1/10/2025

B
Maine 1/10/2025

B
Virginia 3/1/2016

B
Massachusetts 3/1/2016

B
Washington 1/10/2025

B
New Hampshire 3/1/2016

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)
2115 BLACK ROCK TPKE, FAIRFIELD, CT 06825
Registered with this firm since 3/1/2016

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2115 BLACK ROCK TPKE, FAIRFIELD, CT 06825
Registered with this firm since 3/1/2016

Previous Registration(s)
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IA
07/08/2009 - 03/23/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) NEW YORK, NY
B
07/08/2009 - 03/23/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) NEW YORK, NY
IA
06/01/2009 - 07/23/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) GREENWICH, CT
B
06/01/2009 - 07/23/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) GREENWICH, CT
IA
09/24/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GREENWICH, CT
B
06/26/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GREENWICH, CT
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B
Broker
IA
Investment Adviser
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.