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Detailed Report
MARK A JAMES
MARK ALLEN JAMES
CRD#: 6235307
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 735 SANTA CRUZ AVE
MENLO PARK, CA 94025
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2018 - 2023 (5 years)2 FIRMS2023 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2015 - 2018 (2 years)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2013 - 2014 (<1 year)
Disclosure(s)
View By:
3/18/2020
Customer Dispute
Denied
License(s)

State Registrations

B
California 4/6/2023
B
New Jersey 4/6/2023
IA
California 4/7/2023
B
New York 8/14/2024
B
Colorado 4/6/2023
B
North Carolina 5/2/2023
B
Florida 5/1/2023
B
Oregon 5/1/2023
B
Hawaii 4/18/2023
B
Tennessee 4/2/2024
B
Idaho 4/6/2023
B
Texas 4/6/2023
B
Illinois 5/2/2023
IA
Texas 4/6/2023
B
Massachusetts 5/1/2023
B
Washington 4/6/2023
B
Nevada 1/10/2025

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, 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)
735 SANTA CRUZ AVE, MENLO PARK, CA 94025
Registered with this firm since 4/6/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
735 SANTA CRUZ AVE, MENLO PARK, CA 94025
Registered with this firm since 4/6/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/22/2018 - 04/07/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) CUPERTINO, CA
B
 01/18/2018 - 04/07/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) CUPERTINO, CA
B
 09/02/2015 - 01/05/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MOUNTAIN VIEW, CA
B
 10/28/2013 - 08/06/2014 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) CENTENNIAL, CO
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.