Individual Firm
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.
JOHN CLEMENT DUFOUR
JOHN CLEMENT DUFOUR III
CRD#: 6259896
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1525 W WT HARRIS BLVD
CHARLOTTE, NC 28262
CHARLOTTE, NC 28262
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLCCRD#: 11025 1525 WEST WT HARRIS BLVD
BLDG 3, 3RD & 5TH FLS
CHARLOTTE, NC 28262
BLDG 3, 3RD & 5TH FLS
CHARLOTTE, NC 28262
0
Disclosures
11
Years of Experience
View By:
State Registrations
B
Alabama 7/22/2022
B
Nevada 7/22/2022
B
Alaska 7/22/2022
B
New Hampshire 7/22/2022
B
Arizona 7/22/2022
B
New Jersey 7/22/2022
B
Arkansas 7/22/2022
B
New Mexico 7/22/2022
B
California 7/22/2022
B
New York 7/22/2022
B
Colorado 7/22/2022
B
North Carolina 7/22/2022
B
Connecticut 7/22/2022
IA
North Carolina 12/19/2022
B
Delaware 7/22/2022
B
North Dakota 7/22/2022
B
District of Columbia 7/22/2022
B
Ohio 7/22/2022
B
Florida 7/22/2022
B
Oklahoma 7/22/2022
B
Georgia 7/22/2022
B
Oregon 7/22/2022
B
Hawaii 7/22/2022
B
Pennsylvania 7/22/2022
B
Idaho 7/22/2022
B
Puerto Rico 7/22/2022
B
Illinois 7/22/2022
B
Rhode Island 7/22/2022
B
Indiana 7/22/2022
B
South Carolina 7/22/2022
B
Iowa 7/22/2022
IA
South Carolina 6/26/2024
B
Kansas 7/22/2022
B
South Dakota 7/22/2022
B
Kentucky 7/22/2022
B
Tennessee 7/22/2022
B
Louisiana 7/22/2022
B
Texas 7/22/2022
B
Maine 7/22/2022
B
Utah 7/22/2022
B
Maryland 7/22/2022
B
Vermont 7/22/2022
B
Massachusetts 7/22/2022
B
Virgin Islands 7/22/2022
B
Michigan 7/22/2022
B
Virginia 7/22/2022
B
Minnesota 7/22/2022
B
Washington 7/22/2022
B
Mississippi 7/22/2022
B
West Virginia 7/22/2022
B
Missouri 7/22/2022
B
Wisconsin 7/22/2022
B
Montana 7/22/2022
B
Wyoming 7/22/2022
B
Nebraska 7/22/2022
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/9/2023
IA
Registered with this firm since 12/19/2022
B
Registered with this firm since 7/22/2022
B
Registered with this firm since 2/14/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/08/2022 - 12/19/2022 | CHARLOTTE, NC | |
B | 11/24/2017 - 12/18/2018 | FORT MILL, SC | |
B | 11/18/2013 - 11/07/2017 | BOSTON, MA | |
IA | 03/27/2014 - 12/31/2016 | BOSTON, MA |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.