JT
Joel H. Turner
WELLS FARGO SECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 2524962
JT
Professional summary
Joel Hendrick Turner, who also goes by Joel H Turner, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina.
Joel is registered as a RR (Registered Representative) and started their career in finance in 1994. Joel has worked at 8 firms and has passed the Series 63, Series 65, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joel H Turner
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.
CRS (Client Relationship Summary) - BD
Click below to view Joel Hendrick Turner'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®
NoneExperience
Current
September 14, 2021 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 550 South Tryon Street, Charlotte, NC 28202BD
CRD#: 126292
CHARLOTTE, NC
Past
March 19, 2012 - October 23, 2012
FENNEBRESQUE & CO., LLC
BD
CRD#: 146857
CHARLOTTE, NC
Past
March 2, 2010 - November 16, 2011
CAROLINAS INVESTMENT CONSULTING LLC
RIA
CRD#: 104379
CHARLOTTE, NC
Past
January 5, 2010 - November 16, 2011
CAROLINAS INVESTMENT CONSULTING LLC
BD
CRD#: 104379
CHARLOTTE, NC
Past
July 1, 2003 - May 12, 2009
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 1, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
April 30, 1998 - February 1, 1999
BOWLES HOLLOWELL CONNER & CO.
BD
CRD#: 17511
CHARLOTTE, NC
Past
February 2, 1998 - May 14, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
November 30, 1995 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 19002
CHARLOTTE, NC
Past
August 22, 1994 - January 18, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(1/11/2022)
RR
Alaska(1/11/2022)
RR
Arizona(1/11/2022)
RR
Arkansas(1/11/2022)
RR
California(1/11/2022)
RR
Colorado(1/11/2022)
RR
Connecticut(1/11/2022)
RR
Delaware(1/11/2022)
RR
District of Columbia(1/11/2022)
RR
Florida(1/11/2022)
RR
Georgia(1/11/2022)
RR
Hawaii(1/11/2022)
RR
Idaho(1/11/2022)
RR
Illinois(1/11/2022)
RR
Indiana(1/11/2022)
RR
Iowa(1/11/2022)
RR
Kansas(1/11/2022)
RR
Kentucky(1/11/2022)
RR
Louisiana(1/11/2022)
RR
Maine(1/11/2022)
RR
Maryland(1/11/2022)
RR
Massachusetts(1/11/2022)
RR
Michigan(1/11/2022)
RR
Minnesota(1/11/2022)
RR
Mississippi(1/11/2022)
RR
Missouri(1/11/2022)
RR
Montana(1/11/2022)
RR
Nebraska(1/11/2022)
RR
Nevada(1/11/2022)
RR
New Hampshire(1/11/2022)
RR
New Jersey(1/11/2022)
RR
New Mexico(1/11/2022)
RR
New York(1/11/2022)
RR
North Carolina(10/18/2021)
RR
North Dakota(1/11/2022)
RR
Ohio(1/12/2022)
RR
Oklahoma(1/11/2022)
RR
Oregon(1/11/2022)
RR
Pennsylvania(1/11/2022)
RR
Puerto Rico(1/11/2022)
RR
Rhode Island(1/11/2022)
RR
South Carolina(1/11/2022)
RR
South Dakota(1/11/2022)
RR
Tennessee(1/11/2022)
RR
Texas(1/11/2022)
RR
Utah(1/11/2022)
RR
Vermont(1/11/2022)
RR
Virgin Islands(1/11/2022)
RR
Virginia(1/11/2022)
RR
Washington(1/11/2022)
RR
West Virginia(1/11/2022)
RR
Wisconsin(1/11/2022)
RR
Wyoming(1/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 9/14/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
CRD#: 126292 / SEC#: , 8-65876
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
