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
BRUCE DALE CARTER
BRUCE CARTER
CRD#: 6620084
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3800 EMBASSY PKWY STE 380
AKRON, OH 44333
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - Present (9 years)
License(s)

State Registrations

B
Alaska 4/21/2017
B
Nebraska 6/14/2018
B
Arizona 10/29/2018
B
New Jersey 10/12/2020
B
California 5/10/2017
B
North Carolina 7/26/2017
B
Florida 2/24/2017
B
Ohio 4/5/2016
B
Georgia 9/19/2017
IA
Ohio 4/27/2016
B
Idaho 9/15/2016
B
Oklahoma 6/6/2018
B
Illinois 10/29/2018
B
Pennsylvania 9/15/2016
B
Iowa 6/15/2016
B
South Carolina 9/19/2017
B
Kentucky 9/19/2017
B
Tennessee 9/19/2017
B
Maryland 5/31/2018
B
Texas 5/29/2024
B
Massachusetts 11/16/2018
IA
Texas 5/30/2024
B
Michigan 7/27/2017
B
Virginia 6/15/2016
B
Missouri 11/8/2024
B
Washington 12/1/2016
B
Montana 12/1/2016
B
Wisconsin 9/19/2017

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
3800 EMBASSY PKWY STE 380, AKRON, OH 44333
Registered with this firm since 4/27/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3800 EMBASSY PKWY STE 380, AKRON, OH 44333
Registered with this firm since 4/5/2016
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.