Kurtis B. Etherton
Professional summary
Kurtis Bradley Etherton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kurtis is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Kurtis had worked at 2 firms, which includes WELLS FARGO INVESTMENTS LLC, WELLS FARGO BROKERAGE SERVICES L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2000 - September 16, 2002
WELLS FARGO INVESTMENTS, LLC
July 13, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
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
Current Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
Red Flags
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