• 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.
JAMES HENRY ELLIOTT II
JAMES H ELLIOT II, JAMES HENRY ELLIOTT, JAMES Henry ELLIOTT II, JAMES ELLIOTT, JAMES HENRY ELLIOTT, II…
CRD#: 5770366
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1525 W WT HARRIS BLVD 5TH FL
[CLT-RCAST]
CHARLOTTE, NC 28262
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2017 (6 years)2 FIRMS2017 - 2020 (2 years)2 FIRMS2020 - Present (4 years)
License(s)

State Registrations

B
North Carolina 4/3/2020

IA
North Carolina 4/3/2020

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)
1525 W WT HARRIS BLVD 5TH FL [CLT-RCAST], CHARLOTTE, NC 28262
Registered with this firm since 4/3/2020

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1525 W WT HARRIS BLVD 5TH FL [CLT-RCAST], CHARLOTTE, NC 28262
Registered with this firm since 4/3/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/02/2017 - 02/24/2020 ALLSTATE FINANCIAL ADVISORS, LLC (CRD#:109524) Morganton, NC
B
03/02/2017 - 02/24/2020 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) Morganton, NC
IA
09/02/2010 - 02/09/2017 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) HICKORY, NC
B
07/21/2010 - 02/09/2017 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) HICKORY, NC
For additional information about investment advisers or broker-dealers, please visit
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.