Robert F. Wells
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert French Wells, CFP®, who also goes by Bob Wells, Robert Wells, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 16 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2021 - November 9, 2022
LPL FINANCIAL LLC
August 6, 2021 - November 9, 2022
LPL FINANCIAL LLC
January 12, 2018 - June 30, 2021
FIDELITY DISTRIBUTORS COMPANY LLC
December 6, 2013 - December 1, 2017
STRATEGIC ADVISERS LLC
November 22, 2013 - November 29, 2017
FIDELITY BROKERAGE SERVICES LLC
March 14, 2011 - July 31, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 20, 2011 - July 31, 2012
TD AMERITRADE, INC.
January 19, 2011 - July 31, 2012
TD AMERITRADE, INC.
October 1, 2007 - January 28, 2011
OSAIC FA, INC.
October 1, 2007 - January 28, 2011
OSAIC FA, INC.
August 14, 2006 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
August 14, 2006 - September 7, 2007
STRATEGIC ADVISERS LLC
July 28, 2004 - September 7, 2007
FIDELITY BROKERAGE SERVICES LLC
September 10, 2003 - May 18, 2004
SCOTTRADE, INC.
March 12, 2003 - September 5, 2003
CHARLES SCHWAB & CO., INC.
May 8, 1998 - September 5, 2003
CHARLES SCHWAB & CO., INC.
April 25, 1996 - April 17, 1998
WACHOVIA BROKERAGE SERVICE
January 1, 1994 - February 3, 1995
IFG NETWORK SECURITIES, INC.
October 4, 1990 - December 31, 1991
IFG NETWORK SECURITIES, INC.
November 6, 1989 - October 5, 1990
CAPITAL INVESTMENT GROUP, INC.
January 18, 1989 - November 14, 1989
GLOBAL INVESTOR SECURITIES, INC.
January 13, 1986 - January 24, 1989
WS GRIFFITH SECURITIES, INC.
April 18, 1984 - January 24, 1986
SENTRA SECURITIES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
