James A. Busch

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CRD#: 1982074

Professional summary

James Arnold Busch was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, James had worked at 6 firms, which includes WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC., INVEST FINANCIAL CORPORATION, CAPITAL BROKERAGE CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 22, 2003 - October 4, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BRUNSWICK, GA

Past

October 1, 2000 - October 4, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BRUNSWICK, GA

Past

January 20, 1993 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

January 15, 1992 - January 25, 1993

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

October 19, 1990 - January 13, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

September 14, 1989 - March 8, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 14, 1989 - March 8, 1990

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/12/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

19,017

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFA RETIREMENT PLAN CONSULTING (9/22/2025)

WFA FA AND CLIENT DIRECTED WRAP FEE BROCHURE (9/22/2025)

WRAP FEE PROGRAM BROCHURE FOR INTUITIVE INVESTOR PROGRAM (9/22/2025)

WFA WRAP FEE BROCHURE FOR PERSONALIZED UMA - FUNDSOURCE - PRIVATE ADVISOR NETWORK - CUSTOMIZED PORTFOLIOS (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFA INSTITUTIONAL CONSULTING SERVICES (8/4/2025)

Direct owners and executive officers

Name	Position	CRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC	SOLE MEMBER
CRONK, DARRELL	HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL	2498892
GINDI, SOL	PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL	4903526
KARANIK, ERIK ANTHONY	BOARD OF MANAGERS	2260890
LACEY, PAUL	PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL	5616656
PATEL, RAKESH	CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS	5385585
SAUNDERS, DAVID WARD	DESIGNATED STATE PRINCIPAL	2448617
SOMESHWAR, PRASANNA	HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL	7491790
SOMMERS, BARRY	CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS	2301454
TSAMADIAS, CHRISTOS G	CHIEF COMPLIANCE OFFICER	5433568

Regulatory assets under management

Total Number of Accounts	1,327,695
AUM (Assets Under Management)	$ 606,037,831,365

Disclosures

Regulatory Event	182
Civil Event	2
Arbitration	303

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

Red Flags

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James A. Busch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

INVEST FINANCIAL CORPORATION

CAPITAL BROKERAGE CORPORATION

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/1997

Series 63

Date: 10/11/1989

Series 7

Date: 10/12/1992

Series 6

Date: 9/13/1989

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO CLEARING SERVICES, LLC

TRUST BUT VERIFY

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