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Detailed Report
NANCY CHARLENE LIPHAM
NANCY CHARLENE PETERS, NANCY PETERS
CRD#: 703779
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 101 E 11TH ST
ANNISTON, AL 36201
Registration History
19801985199019952000200520102015202020252 FIRMS2001 - 2003 (1 year)2 FIRMS2003 - Present (21 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1980 - 2001 (21 years)
Disclosure(s)
View By:
6/22/2010
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 7/1/2003
B
Missouri 1/14/2019
IA
Alabama 7/1/2003
B
New Jersey 6/3/2024
B
Arizona 12/22/2011
B
New Mexico 6/3/2024
B
Arkansas 6/4/2024
B
New York 6/3/2024
B
California 7/1/2003
B
North Carolina 7/1/2003
B
Colorado 8/2/2005
B
Ohio 6/1/2024
B
Connecticut 6/3/2024
B
Oklahoma 6/3/2024
B
District of Columbia 3/6/2012
B
Pennsylvania 6/3/2024
B
Florida 7/1/2003
B
South Carolina 7/1/2003
B
Georgia 7/1/2003
B
Tennessee 10/11/2012
B
Illinois 6/21/2024
B
Texas 7/1/2003
B
Kentucky 6/5/2024
IA
Texas 7/1/2003
B
Louisiana 10/16/2012
B
Vermont 1/11/2018
B
Maryland 6/7/2024
B
Virginia 2/23/2004
B
Massachusetts 2/28/2007
B
Washington 6/3/2024
B
Michigan 7/1/2003
B
West Virginia 6/3/2024
B
Mississippi 6/3/2024
B
Wisconsin 6/4/2024

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)
101 E 11TH ST, ANNISTON, AL 36201
Registered with this firm since 7/1/2003
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
101 E 11TH ST, ANNISTON, AL 36201
Registered with this firm since 7/1/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/24/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) ANNISTON, AL
B
 08/24/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 01/19/1980 - 08/31/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.