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Detailed Report
WALLACE HUNTER CAUDILL
CRD#: 7064723
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 7400 W 130TH ST STES 200 & 400
OVERLAND PARK, KS 66213
Registration History
201920202021202220232024202520262 FIRMS2019 - Present (6 years)
License(s)

State Registrations

B
Alabama 3/26/2020
B
Nevada 3/26/2020
B
Arizona 5/15/2019
B
New Hampshire 5/15/2019
B
California 5/15/2019
B
New York 5/15/2019
B
Colorado 5/15/2019
B
North Carolina 5/15/2019
B
Florida 5/15/2019
B
Ohio 5/16/2019
B
Hawaii 5/15/2019
B
Oklahoma 5/15/2019
B
Illinois 5/15/2019
B
Pennsylvania 9/21/2022
B
Indiana 5/15/2019
B
South Carolina 2/26/2021
B
Iowa 5/15/2019
B
Texas 5/15/2019
B
Kansas 4/9/2019
IA
Texas 5/15/2019
IA
Kansas 4/9/2019
B
Virginia 12/14/2020
B
Michigan 5/15/2019
B
Washington 5/15/2019
B
Missouri 5/15/2019
B
Wisconsin 10/20/2023
B
Nebraska 6/22/2022

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)
7400 W 130TH ST STES 200 & 400, OVERLAND PARK, KS 66213
Overland Park, KS
Registered with this firm since 4/9/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
7400 W 130TH ST STES 200 & 400, OVERLAND PARK, KS 66213
Overland Park, KS
Registered with this firm since 3/5/2019
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.