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MEGHAN C BARCLAY
CRD#: 5354688
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1 CITIZENS PLZ STE 520
PROVIDENCE, RI 02903
PROVIDENCE, RI 02903
0
Disclosures
15
Years of Experience
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State Registrations
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Alabama 3/30/2021
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New Jersey 12/18/2012
B
Arizona 3/3/2017
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New Mexico 1/10/2022
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California 1/5/2011
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New York 1/5/2011
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Colorado 1/5/2011
B
North Carolina 8/13/2012
B
Connecticut 1/5/2011
B
Ohio 12/19/2012
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Florida 1/5/2011
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Pennsylvania 1/5/2011
B
Georgia 1/5/2011
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Rhode Island 1/5/2011
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Indiana 12/2/2016
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Rhode Island 1/5/2011
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Kentucky 1/4/2016
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South Carolina 1/5/2011
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Maine 1/5/2011
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Tennessee 9/24/2021
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Maryland 12/18/2012
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Texas 3/12/2025
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Massachusetts 1/5/2011
IA
Texas 3/13/2025
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Michigan 12/18/2012
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Vermont 1/5/2011
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Missouri 9/10/2020
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Virginia 12/18/2012
B
Nevada 12/18/2012
B
Wisconsin 7/9/2024
B
New Hampshire 1/5/2011
SRO Registrations
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Registered with this firm since 1/5/2011
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Registered with this firm since 1/5/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/11/2009 - 01/12/2011 | PROVIDENCE, RI | |
B | 07/24/2009 - 01/12/2011 | PROVIDENCE, RI |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.