Deborah K. Wells
Professional summary
Deborah Kay Wells, who also goes by Debbie Riggle, Deborah Kay Riggle, Deborah Riggle, Debbie Wells, Deborah K Wells, Riggle Wells, is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Houston, Texas.
Deborah is registered as a RR (Registered Representative) and started their career in finance in 1992. Deborah has worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Deborah Kay Wells's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2008 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
Office #1: 845 Texas Avenue Suite 3300, Houston, TX 77002December 19, 2000 - March 7, 2008
INVESCO CAPITAL MARKETS, INC.
February 14, 2000 - December 1, 2000
FISERV INVESTOR SERVICES, INC.
May 7, 1998 - August 25, 1999
INVESCO CAPITAL MARKETS, INC.
August 20, 1996 - October 22, 1996
TDI, INCORPORATED
December 6, 1994 - August 1, 1996
M. J. WHITMAN, INC.
November 24, 1992 - December 8, 1994
HART SECURITIES, INC.
March 13, 1992 - December 2, 1992
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/10/2008)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145Houston, TX 77002TRUST BUT VERIFY
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