JW
James P. Wells
WELLS INVESTMENTS
WINTER HAVEN, FL 33880
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CRD#: 1534949
JW
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
Are you a "fiduciary"?
Yes
Aliases
Jim Wells
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
AT 521 W CENTRAL AVENUE, WINTER HAVEN, FL: 1.FIXED INSURANCE AGENT, VALOR, INVESTMENT-RELATED, 2007, 1 HOUR PER MO. +/-; SALES AGENT. 2.I WILL ENTERPISES LLC. NOT INVESTMENT RELATED. 521 W CENTRAL AVE, WINTER HAVEN, FL. IN CONJUNCTION WITH COMMERCE KINGS. PRESIDENT. 2009. ABOUT 2 HRS/QTR. OUTSIDE OF TRADING HRS. MOTIVATIONAL PRODUCTS & SERVICES. 3. TRUST PROTECTOR LLC. NOT INVESTMENT RELATED. OWNER. 2009. ABOUT 4-6 HRS/MO. PARTIALLY DURING TRADING HOURS. HELP GUIDE FAMILIES IN THE USE OF THEIR TRUSTS. 4. WINVEST, NOT INVESTMENT RELATED, REAL ESTATE HOLDING COMPANY. OWNER. 1998. 10 HOURS PER MONTH. OUTSIDE SECURITIES TRADING HOURS. 5. WELLS INVESTMENTS, INC., INVESTMENT-RELATED, ADVISORY SERVICES, MAJORITY OWNER, CEO AND INVESTMENT ADVISORY REPRESENTATIVE, 1995, 20 HRS/MO, DURING SECURITIES TRADING HOURS, PORTFOLIO MANAGEMENT. 6. WELLS GLOBAL INVESTMENT ADVISERS LLC, INVESTMENT-RELATED, ADVISORY SERVICES, OWNER, PRESIDENT AND INVESTMENT ADVISORY REPRESENTATIVE, 2009, 120 HRS/MO, MOSTLY DURING SECURITIES TRADING HOURS, PORTFOLIO MGT. 7. OUR FALLEN HEROES FOUNDATION,INC., NOT INVESTMENT-RELATED, NON PROFIT ORGANIZATION THAT HELPS THE FAMILIES OF MILITARY PERSONNEL KILLED IN THE WAR ON TERRORISM AND INJURED MILITARY PERSONNEL, PRESIDENT AND DIRECTOR, 2004, 2 HRS/QTR, MOSTLY DURING SECURITIES TRADING HOURS, OFFER ASSISTANCE TO WIDOWS, SPEAK WITH DIRECTORS. 8.COLLEGIATE CLARITY, 2627 LAUREL LAKE DR., BATON ROUGE, LA, ONLINE COLLEGE CONSULTING, PART OWNER, PROVIDE GUIDANCE TO OTHER OWNERS, NOT INVESTMENT RELATED, 2020, Less than 6 HOURS PER QTR AFTER BUSINESS HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Wells's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
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 33610RIA
CRD#: 131076
WINTER HAVEN, FL
Current
September 25, 2009 - Present
WELLS GLOBAL INVESTMENT ADVISERS LLC
Office #1: 521 West Central Avenue, Winter Haven, FL 33880RIA
CRD#: 150139
Winter Haven, FL
Current
December 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 33880-2971BD
CRD#: 150726
Winter Haven, FL
Past
January 1, 2004 - December 31, 2009
CETERA ADVISORS LLC
BD
CRD#: 10299
WINTER HAVEN, FL
Past
December 11, 1996 - January 1, 2004
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
November 9, 1995 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
BD
CRD#: 18398
Past
July 21, 1992 - November 13, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 30, 1989 - July 23, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 5, 1989 - November 1, 1989
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
February 9, 1988 - March 28, 1989
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
July 23, 1986 - February 12, 1988
ALLEN & COMPANY OF FLORIDA, LLC
BD
CRD#: 25
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WG
WELLS GLOBAL INVESTMENT ADVISERS LLC
WELLS GLOBAL INVESTMENT ADVISERS LLC
CRD#: 150139 / SEC#: 801-76875
RIA
Registered Investment Advisory firm - (8/31/2012 Approved)Florida
Registered Investment Advisory firm - (9/25/2009 Approved)Texas
Registered Investment Advisory firm - (9/25/2023 Conditional Restricted)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Florida(11/26/2003)
RR
Florida(12/18/2009)
RR
Georgia(3/22/2012)
RR
Illinois(4/17/2017)
RR
New Hampshire(1/7/2010)
RR
North Carolina(1/5/2010)
RR
Tennessee(2/11/2010)
RR
Texas(1/21/2010)
IAR
Texas(8/31/2017)
RR
Virginia(4/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WG
WELLS GLOBAL INVESTMENT ADVISERS LLC
WELLS GLOBAL INVESTMENT ADVISERS LLC
CRD#: 150139 / SEC#: 801-76875
RIA
Registered Investment Advisory firm - (8/31/2012 Approved)Florida
Registered Investment Advisory firm - (9/25/2009 Approved)Texas
Registered Investment Advisory firm - (9/25/2023 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
521 West Central Avenue, Winter Haven, FL 33880
Mailing Address
Phone number
(863) 294-3361
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 131 |
| AUM (Assets Under Management) | $ 93,750,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WELLS GLOBAL INVESTMENT ADVISERS LLC
CRD#: 150139Winter Haven, FL 33880TRUST BUT VERIFY
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Contact information
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