Catrice A. Wells
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Catrice Alaine Wells, who also goes by Catrice A Wells, Tricey Wells, was a registered financial professional .
Catrice is a previously registered financial professional and started their career in finance in 1992. Catrice had worked at 14 firms and has passed the Series 63, Series 66, Series 65, Series 99TO, SIE, Series 7, Series 55, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2021 - June 9, 2025
JOSEPH EDEN CAPITAL, LLC
July 16, 2020 - October 10, 2025
JOSEPH WEALTH MANAGEMENT, LLC
April 24, 2015 - May 29, 2018
AVANTAX INVESTMENT SERVICES, INC.
June 18, 2007 - January 31, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
June 10, 2005 - December 2, 2005
LASALLE ST SECURITIES, L.L.C.
January 6, 2004 - April 12, 2004
SIGNATOR INVESTORS, INC.
April 30, 2002 - August 28, 2002
JOHNSON WELLS INVESTMENTS INCORPORATED
August 20, 2001 - November 15, 2001
A. G. EDWARDS & SONS, INC.
April 5, 2001 - September 26, 2001
CITICORP INVESTMENT SERVICES
January 4, 2000 - January 4, 2001
HOLLAND CAPITAL MANAGEMENT, L.P.
June 11, 1999 - October 12, 1999
BANC ONE SECURITIES CORPORATION
November 8, 1993 - March 22, 1999
A. G. EDWARDS & SONS, INC.
October 7, 1992 - November 12, 1993
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
July 14, 1992 - October 21, 1992
IDS LIFE INSURANCE COMPANY
July 14, 1992 - October 21, 1992
AMERIPRISE FINANCIAL 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
Exams
Series 99TO
Date: 5/7/2025
Operations Professional ExaminationSeries 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
JOSEPH EDEN CAPITAL, LLC
CRD#: 310317 / SEC#: , 8-70574
Contact information
FINRA licenses (18 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
