Tod E. Wells
&PARTNERS
Mooresville, NC 28117
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CRD#: 2270943
Professional summary
Tod Edward Wells, CFP® is a registered financial advisor currently at &PARTNERS located in Mooresville, North Carolina.
Tod is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Tod has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
What are your service offerings?
Education Planning
Investment Planning
Retirement Income Management
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
Yes
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.
DWM, LLC POSITION: Partner NATURE: Pass thru entity for equity buyout of partner, expenses, and office build out. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2025 ADDRESS: Mooresville, NC 28117, United States DESCRIPTION: Partner
CRS (Client Relationship Summary) - RIA
Click below to view Tod Edward Wells's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tod Edward 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®
CFP®
Start date: 2001
Experience
Current
October 11, 2024 - Present
&PARTNERS
Office #1: 106 Langtree Village Drive Suite 301, Mooresville, NC 28117RIA
BD
CRD#: 3767
Mooresville, NC
Current
October 11, 2024 - Present
&PARTNERS
Office #1: 106 Langtree Village Drive Suite 301, Mooresville, NC 28117RIA
BD
CRD#: 3767
Mooresville, NC
Past
May 20, 2011 - October 16, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DAVIDSON, NC
Past
May 20, 2011 - October 16, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DAVIDSON, NC
Past
January 18, 2005 - May 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HUNTERSVILLE, NC
Past
January 18, 2005 - May 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HUNTERSVILLE, NC
Past
December 31, 2001 - January 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MOORESVILLE, NC
Past
October 1, 2000 - January 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 1, 1994 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
November 3, 1992 - December 16, 1993
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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".
&PARTNERS
&PARTNERS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THIRD COAST WEALTH PLANNING | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LANG INVESTMENT GROUP | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HARVEST POINT WEALTH ADVISORS | GUIDENT WEALTH MANAGEMENT | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CANYON RIVER WEALTH PLANNING | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | APRICITY ADVISOR | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
RR
Alabama(10/11/2024)
RR
Arizona(10/11/2024)
RR
California(10/11/2024)
RR
Colorado(10/11/2024)
RR
Connecticut(10/11/2024)
RR
Delaware(10/11/2024)
RR
District of Columbia(10/11/2024)
RR
Florida(10/11/2024)
RR
Georgia(10/11/2024)
RR
Idaho(10/11/2024)
RR
Illinois(10/11/2024)
RR
Indiana(10/11/2024)
RR
Kentucky(10/11/2024)
RR
Maryland(10/11/2024)
RR
Massachusetts(10/11/2024)
RR
Michigan(10/11/2024)
RR
Minnesota(10/11/2024)
RR
Missouri(10/11/2024)
RR
Montana(10/11/2024)
RR
New Jersey(10/11/2024)
RR
New Mexico(10/11/2024)
RR
New York(10/11/2024)
RR
North Carolina(10/11/2024)
IAR
North Carolina(10/11/2024)
RR
Ohio(10/11/2024)
RR
Oklahoma(10/11/2024)
RR
Pennsylvania(10/11/2024)
RR
South Carolina(10/11/2024)
RR
South Dakota(10/11/2024)
RR
Tennessee(10/11/2024)
RR
Texas(10/11/2024)
IAR
Texas(10/11/2024)
RR
Virginia(10/11/2024)
RR
Washington(10/11/2024)
RR
Wisconsin(10/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
&PARTNERS
&PARTNERS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THIRD COAST WEALTH PLANNING | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LANG INVESTMENT GROUP | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HARVEST POINT WEALTH ADVISORS | GUIDENT WEALTH MANAGEMENT | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CANYON RIVER WEALTH PLANNING | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | APRICITY ADVISOR | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Mailing Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Phone number
(615) 255-6431
Established
Tennessee since 12/07/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
475
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPERSAND PARTNERS, LLC | OWNER | |
| ALEXANDER, JOHN W | CO-PRESIDENT | 2327561 |
| COOPER, CHYRLAN ELIZABETH | COO | 4160240 |
| IDOL, KALEY PORTER | CHIEF COMPLIANCE OFFICER | 6950052 |
| KOWACH, DAVID JOHN | CEO | 2154665 |
| NELSON, RICHARD SCOTT | CFO | 5014790 |
| SCHALLER, MICHAEL CHRISTOPHER | CONTROLLER/FINOP | 5899085 |
| STEVENS, ALYSON MENCIO | CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS | 5451096 |
| WILEY III, DAVID WARREN III | CO-PRESIDENT | 720094 |
Regulatory assets under management
| Total Number of Accounts | 32,200 |
| AUM (Assets Under Management) | $ 14,146,591,395 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 | ||
| 12/29/2023 | ||
| 01/03/2023 |
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.
Company Information
&PARTNERS
CRD#: 3767Mooresville, NC 28117TRUST BUT VERIFY
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Contact information
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