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
EDWIN ARCHIBALD DALRYMPLE
EDWIN ARCHIBALD DALRYMPLE JR
CRD#: 728992
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6000 FAIRVIEW RD STE 800
CHARLOTTE, NC 28210
Registration History
1985199019952000200520102015202020252 FIRMS2003 - 2015 (11 years)2 FIRMS2015 - Present (10 years)BWACHOVIA SECURITIES FINANCIAL ... (CRD# 11025)2002 - 2003 (1 year)BCAPTRUST FINANCIAL ADVISORS, LLC (CRD# 41727)1996 - 2002 (5 years)BWACHOVIA SECURITIES, INC. (CRD# 431)1981 - 2002 (20 years)IAWACHOVIA SECURITIES FINANCIAL ... (CRD# 11025)2003 - 2003 (<1 year)
License(s)

State Registrations

B
Alabama 1/28/2022
B
Mississippi 2/28/2020
B
Arizona 5/28/2020
B
Missouri 9/22/2020
B
California 2/28/2020
B
New Jersey 2/28/2020
B
Colorado 2/28/2020
B
New York 2/28/2020
B
Connecticut 8/25/2021
B
North Carolina 4/13/2015
B
Delaware 4/13/2015
IA
North Carolina 4/13/2015
B
District of Columbia 11/2/2017
B
Ohio 1/30/2022
B
Florida 2/28/2020
B
Oregon 8/25/2021
B
Georgia 4/13/2015
B
Pennsylvania 2/28/2020
B
Hawaii 11/6/2024
B
Puerto Rico 6/18/2024
B
Illinois 2/28/2020
B
South Carolina 4/13/2015
B
Iowa 7/18/2023
B
Tennessee 2/28/2020
B
Kansas 2/28/2020
B
Texas 4/13/2015
B
Kentucky 2/28/2020
IA
Texas 4/14/2015
B
Maryland 2/28/2020
B
Virginia 4/13/2015
B
Massachusetts 2/28/2020
B
Wisconsin 11/6/2024
B
Michigan 2/28/2020

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)
6000 FAIRVIEW RD STE 800, CHARLOTTE, NC 28210
Charlotte, NC
Registered with this firm since 4/13/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6000 FAIRVIEW RD STE 800, CHARLOTTE, NC 28210
Charlotte, NC
Registered with this firm since 4/13/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/21/2003 - 04/14/2015 CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" (CRD#:126291) CHARLOTTE, NC
B
 09/11/2003 - 04/14/2015 CAPFINANCIAL SECURITIES, LLC. (CRD#:126291) CHARLOTTE, NC
IA
 10/14/2003 - 10/21/2003 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CRD#:11025) CHARLOTTE, NC
B
 03/15/2002 - 10/21/2003 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CRD#:11025) ST. LOUIS, MO
B
 11/04/1996 - 04/02/2002 CAPTRUST FINANCIAL ADVISORS, LLC (CRD#:41727) CHARLOTTE, NC
B
 04/13/1981 - 03/15/2002 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
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.