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Detailed Report
JOHN HAMILTON POUNDS JR
JAY POUNDS JR, JOHN HAMILTON POUNDS JR JR, JOHN HAMILTON POUNDS JR. JR
CRD#: 859969
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2501 20TH PL S STE 350
BIRMINGHAM, AL 35223
Registration History
19801985199019952000200520102015202020252 FIRMS2003 - 2007 (4 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - Present (8 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1995 - 2003 (7 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1995 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1981 - 1988 (7 years)BPAINE, WEBBER, JACKSON & CURTI... (CRD# 8174)1980 - 1981 (1 year)BBACHE HALSEY STUART SHIELDS IN... (CRD# 7471)1978 - 1980 (1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (5 years)
Disclosure(s)
View By:
2/19/1991
Customer Dispute
Settled
12/1/1988
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 6/28/2016
B
Michigan 6/28/2016
IA
Alabama 6/28/2016
B
Mississippi 11/4/2021
B
California 1/5/2018
B
Missouri 12/4/2023
B
Colorado 6/28/2016
B
North Carolina 6/28/2016
B
Connecticut 2/15/2021
B
Oregon 6/23/2017
B
Delaware 6/28/2021
B
South Carolina 1/15/2020
B
Florida 6/28/2016
B
Tennessee 6/28/2016
B
Georgia 11/26/2019
B
Texas 6/28/2016
B
Indiana 7/27/2022
IA
Texas 6/28/2016
B
Louisiana 11/15/2024
B
Virginia 12/5/2024

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)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
Registered with this firm since 6/28/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
Registered with this firm since 6/28/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 07/25/2016 MORGAN STANLEY (CRD#:149777) BIRMINGHAM, AL
B
 06/01/2009 - 07/25/2016 MORGAN STANLEY (CRD#:149777) BIRMINGHAM, AL
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BIRMINGHAM, AL
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BIRMINGHAM, AL
IA
 02/25/2003 - 04/02/2007 MORGAN STANLEY (CRD#:7556) BIRMINGHAM, AL
B
 02/25/2003 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) BIRMINGHAM, AL
IA
 01/27/1998 - 02/19/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) BIRMINGHAM, AL
B
 05/24/1995 - 02/19/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 07/31/1993 - 05/25/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 05/14/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 05/19/1981 - 05/14/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 07/11/1980 - 08/24/1981 PAINE, WEBBER, JACKSON & CURTIS INC. (CRD#:8174)
B
 11/27/1978 - 06/30/1980 BACHE HALSEY STUART SHIELDS INCORPORATED (CRD#:7471)
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.