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Detailed Report
JOHN EARLE CHASE
CRD#: 709157
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 254 COMMERCIAL ST STE 257
PORTLAND, ME 04101
Registration History
1980198519901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2002 - Present (22 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2001 - Present (24 years)BADVEST, INC. (CRD# 10)1981 - 2001 (20 years)BMEANS INVESTMENT COMPANY (CRD# 2748)1980 - 1981 (1 year)IAFIRST UNION SECURITIES, INC. (CRD# 19616)2001 - 2002 (<1 year)
Disclosure(s)
View By:
9/13/1993
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 4/21/2010
B
Nevada 2/23/2015
B
Arizona 11/18/2016
B
New Hampshire 2/23/2001
B
California 2/23/2001
B
New Jersey 12/3/2008
B
Colorado 4/20/2010
B
New York 2/23/2001
B
Connecticut 8/14/2020
B
North Carolina 2/23/2001
B
District of Columbia 1/5/2015
B
Ohio 1/4/2006
B
Florida 2/23/2001
B
Oklahoma 11/21/2016
B
Georgia 8/26/2014
B
Oregon 2/11/2015
B
Hawaii 11/18/2016
B
Pennsylvania 2/23/2001
B
Idaho 11/18/2016
B
Rhode Island 4/20/2010
B
Indiana 12/3/2008
B
South Carolina 2/23/2001
B
Kentucky 11/21/2016
IA
South Carolina 12/13/2010
B
Louisiana 11/18/2016
B
Tennessee 11/18/2016
B
Maine 2/23/2001
IA
Texas 8/16/2011
IA
Maine 6/17/2002
B
Texas 8/24/2011
B
Maryland 2/23/2001
B
Utah 4/28/2022
B
Massachusetts 2/23/2001
B
Virginia 2/23/2001
B
Michigan 3/20/2013
B
Washington 11/18/2016
B
Missouri 4/1/2019
B
Wisconsin 2/8/2019
B
Montana 11/18/2016
B
Wyoming 11/22/2016

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)
254 COMMERCIAL ST STE 257, PORTLAND, ME 04101
BEAUFORT, SC
Registered with this firm since 6/17/2002
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
254 COMMERCIAL ST STE 257, PORTLAND, ME 04101
BEAUFORT, SC
Registered with this firm since 2/23/2001
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/31/2001 - 04/25/2002 FIRST UNION SECURITIES, INC. (CRD#:19616) BEAUFORT, SC
B
 01/19/1981 - 03/19/2001 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
 06/02/1980 - 06/12/1981 MEANS INVESTMENT COMPANY (CRD#:2748)
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.