James P. Wells
Professional summary
James Patrick Wells, who also goes by Jim Wells, is a registered financial advisor currently at WELLS INVESTMENTS, INC. located in Winter Haven, Florida and WELLS GLOBAL INVESTMENT ADVISERS LLC located in Winter Haven, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Wells's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 26, 2003 - Present
WELLS INVESTMENTS, INC.
Office #1: 521 West Central Avenue, Winter Haven, FL 33880Office #2: 10150 Highland Manor Drive, Suite 200, Tampa, FL 33610September 25, 2009 - Present
WELLS GLOBAL INVESTMENT ADVISERS LLC
Office #1: 521 West Central Avenue, Winter Haven, FL 33880December 18, 2009 - Present
VALOR FINANCIAL SECURITIES LLC
Office #1: 521 West Central Avenue, Winter Haven, FL 33880-2971Office #2: 521 West Central Avenue, Winter Haven, FL 33880-2971January 1, 2004 - December 31, 2009
CETERA ADVISORS LLC
December 11, 1996 - January 1, 2004
IFG NETWORK SECURITIES, INC.
November 9, 1995 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
July 21, 1992 - November 13, 1995
UBS FINANCIAL SERVICES INC.
October 30, 1989 - July 23, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 1989 - November 1, 1989
KIDDER, PEABODY & CO. INCORPORATED
February 9, 1988 - March 28, 1989
CIBC WORLD MARKETS CORP.
July 23, 1986 - February 12, 1988
ALLEN & COMPANY OF FLORIDA, LLC
Primary Firm SEC Registration
WELLS GLOBAL INVESTMENT ADVISERS LLC
CRD#: 150139 / SEC#: 801-76875
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/26/2003)
(12/18/2009)
(3/22/2012)
(4/17/2017)
(1/7/2010)
(1/5/2010)
(2/11/2010)
(1/21/2010)
(8/31/2017)
(4/27/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
WELLS GLOBAL INVESTMENT ADVISERS LLC
CRD#: 150139 / SEC#: 801-76875
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 133 |
| AUM (Assets Under Management) | $ 101,300,000 |
Red Flags
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Company Information
WELLS GLOBAL INVESTMENT ADVISERS LLC
CRD#: 150139Winter Haven, FL 33880TRUST BUT VERIFY
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