Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
WADE CURTIS BARTS
WADE BARTS
CRD#: 5460447
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 550 S TRYON ST 44TH FL
[N1/N9-RBO]
CHARLOTTE, NC 28202
Registration History
2008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2023 - Present (1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - Present (8 years)BFIRST CLEARING, LLC (CRD# 17344)2015 - 2016 (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2009 - 2015 (5 years)BMETLIFE SECURITIES INC. (CRD# 14251)2008 - 2009 (1 year)
License(s)

State Registrations

B
North Carolina 11/11/2016
B
South Carolina 4/29/2022
IA
North Carolina 5/25/2023
IA
South Carolina 6/25/2024

SRO Registrations

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)
550 S TRYON ST 44TH FL [N1/N9-RBO], CHARLOTTE, NC 28202
FORT MILL, SC
Registered with this firm since 5/25/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
550 S TRYON ST 44TH FL [N1/N9-RBO], CHARLOTTE, NC 28202
FORT MILL, SC
Registered with this firm since 11/11/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/29/2015 - 11/11/2016 FIRST CLEARING, LLC (CRD#:17344) ST. LOUIS, MO
B
 06/24/2009 - 02/02/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
B
 01/01/2008 - 06/22/2009 METLIFE SECURITIES INC. (CRD#:14251) CHARLOTTE, 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.