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JAMES RUSSELL MOORE JR
JAMES RUSSELL MOORE
CRD#: 710569
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WELLS FARGO ADVISORSCRD#: 19616 190 CARONDELET PLZ STE 800
CLAYTON, MO 63105
CLAYTON, MO 63105
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10/21/1993
Customer Dispute
Settled
State Registrations
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Alabama 3/30/2009
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Missouri 2/27/2009
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Alaska 10/23/2012
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Nevada 3/24/2009
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Arizona 2/8/2022
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New Jersey 2/27/2009
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Arkansas 3/30/2009
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New Mexico 10/28/2013
B
California 2/27/2009
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New York 3/30/2009
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Colorado 2/27/2009
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North Carolina 4/9/2009
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Connecticut 6/21/2018
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Ohio 4/19/2011
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Delaware 6/14/2012
B
Oklahoma 4/20/2009
B
Florida 2/27/2009
B
Oregon 7/9/2014
B
Georgia 4/2/2009
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Pennsylvania 5/18/2016
B
Illinois 3/2/2009
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Puerto Rico 1/23/2019
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Indiana 7/29/2009
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South Carolina 7/28/2017
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Iowa 9/23/2009
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Tennessee 5/2/2011
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Kansas 3/31/2009
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Texas 4/2/2009
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Kentucky 3/30/2009
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Texas 8/3/2017
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Louisiana 8/8/2022
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Vermont 6/21/2018
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Massachusetts 8/14/2015
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Virginia 3/31/2009
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Michigan 10/26/2016
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Washington 3/31/2009
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Missouri 2/27/2009
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Wisconsin 3/30/2009
SRO Registrations
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Registered with this firm since 2/27/2009
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Registered with this firm since 2/27/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/31/1993 - 03/23/2009 | CLAYTON, MO | |
B | 07/31/1993 - 03/23/2009 | CLAYTON, MO | |
B | 04/11/1988 - 07/31/1993 | NEW YORK, NY | |
B | 02/18/1988 - 04/11/1988 | ||
B | 03/30/1982 - 01/11/1988 | ||
B | 07/01/1980 - 04/05/1982 |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.