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Detailed Report
MONIQUE SHERRIE DURHAM
MONIQUE DURHAM
CRD#: 6270495
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 ONE NORTH JEFFERSON AVENUE
MAIL CODE: H0004-05E
ST. LOUIS, MO 63103-2205
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLCCRD#: 11025 ONE N JEFFERSON AVE
ST. LOUIS, MO 63103
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2017 - Present (7 years)IAWELLS FARGO ADVISORS (CRD# 19616)2018 - Present (7 years)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2015 - 2017 (2 years)BSCOTTRADE, INC. (CRD# 8206)2014 - 2015 (1 year)
License(s)

State Registrations

B
Missouri 12/15/2017
IA
Missouri 4/18/2018

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, 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)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103-2205
Registered with this firm since 4/18/2018
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
Registered with this firm since 12/15/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103
Registered with this firm since 12/15/2017
Previous Registration(s)
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B
 10/20/2015 - 12/01/2017 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ST. LOUIS, MO
B
 03/17/2014 - 10/23/2015 SCOTTRADE, INC. (CRD#:8206) ST. LOUIS, MO
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.