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
ADAM THOMAS BARBEE
ADAM BARBEE
CRD#: 6714027
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4501 PARK RD
CHARLOTTE, NC 28209
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
California 4/26/2023
IA
North Carolina 12/21/2021
B
District of Columbia 4/27/2023
B
Ohio 3/22/2023
B
Florida 3/20/2023
B
South Carolina 12/1/2016
B
Georgia 4/16/2024
IA
South Carolina 12/27/2016
B
Massachusetts 1/10/2025
B
Tennessee 12/20/2021
B
North Carolina 1/4/2017
B
Virginia 3/22/2023

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)
4501 PARK RD, CHARLOTTE, NC 28209
2910 SOUTH BLVD, CHARLOTTE, NC 28209
Registered with this firm since 12/27/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4501 PARK RD, CHARLOTTE, NC 28209
2910 SOUTH BLVD, CHARLOTTE, NC 28209
Registered with this firm since 11/21/2016
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.