EW
Edward J. Wells
NBC SECURITIES
MASSAPEQUA, NY 11758
Some features on this profile are disabled
CRD#: 2821706
EW
Professional summary
Edward John Wells is a registered financial advisor currently at NBC SECURITIES, INC. located in Massapequa, New York.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Edward has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
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.
WELLSEN
ENTITY EXISTING FOR THE PURPOSE OF OWNERSHIP OF THE BUILDING WHERE BRANCH OFFICE IS LOCATED. NO DUTIES OR ACTIVITIES ASSOCIATED WITH THIS ENTITY.
CRS (Client Relationship Summary) - RIA
Click below to view Edward John Wells's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward John 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®
NoneExperience
Current
August 3, 2015 - Present
NBC SECURITIES, INC.
Office #1: 5000 Merrick Road, Massapequa, NY 11758RIA
BD
CRD#: 17870
MASSAPEQUA, NY
Current
July 22, 2015 - Present
NBC SECURITIES, INC.
Office #1: 5000 Merrick Road, Massapequa, NY 11758RIA
BD
CRD#: 17870
MASSAPEQUA, NY
Past
April 8, 2010 - July 23, 2015
JHS CAPITAL ADVISORS, LLC
RIA
CRD#: 112097
MASSAPEQUA, NY
Past
March 26, 2010 - July 23, 2015
JHS CAPITAL ADVISORS, LLC
BD
CRD#: 112097
MASSAPEQUA, NY
Past
October 12, 2007 - March 29, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
PLAINVIEW, NY
Past
July 15, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
PLAINVIEW, NY
Past
June 4, 2002 - August 8, 2005
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
June 5, 2000 - July 2, 2002
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
November 24, 1997 - June 6, 2000
CAMBRIDGE CAPITAL, LLC
BD
CRD#: 41464
GARDEN CITY, NY
Past
October 8, 1997 - December 2, 1997
LEGEND MERCHANT GROUP, INC.
BD
CRD#: 5155
NEW YORK, NY
Past
June 6, 1997 - November 10, 1997
ASH FINANCIAL CORP.
BD
CRD#: 24990
GREAT NECK, NY
Past
April 21, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
November 18, 1996 - April 18, 1997
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
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".
NS
NBC SECURITIES, INC.
NBC COMMERCE INVESTMENTS | POSEY, BENNERS & SELLERS, INC. | NBC SECURITIES, INC.
CRD#: 17870 / SEC#: 801-58257, 8-35870
RIA
Registered Investment Advisory firm - SEC (1/3/2001 Approved)Alabama
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (5/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Illinois
Registered Investment Advisory firm - SEC (6/25/2001 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Kentucky
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Mississippi
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)New York
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/15/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)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(5/24/2022)
RR
Arizona(7/22/2015)
IAR
Arizona(2/13/2019)
RR
Arkansas(7/22/2015)
RR
California(7/22/2015)
IAR
California(2/13/2017)
RR
Colorado(7/22/2015)
IAR
Colorado(1/31/2023)
RR
Connecticut(7/22/2015)
IAR
Connecticut(8/20/2024)
IAR
Delaware(1/12/2023)
RR
Florida(7/22/2015)
IAR
Florida(8/3/2015)
RR
Georgia(3/9/2016)
IAR
Georgia(1/3/2025)
RR
Hawaii(4/19/2016)
RR
Illinois(7/22/2015)
IAR
Illinois(5/8/2018)
RR
Kansas(7/22/2015)
RR
Maryland(7/22/2015)
IAR
Maryland(2/14/2017)
RR
Massachusetts(7/22/2015)
IAR
Massachusetts(4/10/2018)
RR
Michigan(7/22/2015)
RR
Minnesota(9/2/2025)
RR
Nevada(7/22/2015)
RR
New Jersey(7/22/2015)
IAR
New Jersey(1/3/2019)
RR
New York(7/22/2015)
IAR
New York(1/10/2023)
RR
North Carolina(7/22/2015)
IAR
North Carolina(2/1/2023)
RR
Oregon(7/22/2015)
IAR
Pennsylvania(4/14/2022)
RR
Pennsylvania(1/11/2024)
RR
Texas(7/22/2015)
IAR
Texas(1/31/2023)
RR
Utah(7/22/2015)
RR
Virginia(7/22/2015)
IAR
Virginia(3/29/2018)
RR
Washington(4/19/2016)
IAR
Washington(1/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NBC SECURITIES, INC.
NBC COMMERCE INVESTMENTS | POSEY, BENNERS & SELLERS, INC. | NBC SECURITIES, INC.
CRD#: 17870 / SEC#: 801-58257, 8-35870
RIA
Registered Investment Advisory firm - SEC (1/3/2001 Approved)Alabama
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (5/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Illinois
Registered Investment Advisory firm - SEC (6/25/2001 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Kentucky
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Mississippi
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)New York
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/15/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1927 1st Avenue North, Birmingham, AL 35203
Mailing Address
1927 1st Avenue North, Birmingham, AL 35203-0686
Phone number
(800) 521-9390
Established
Alabama since 03/13/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (53 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NBCS HOLDINGS, LLC | SHAREHOLDER | |
| CONWAY, PAMELA SUE | VICE PRESIDENT | 2228251 |
| DOODY, JOHN ROBERT JR | PRESIDENT AND CEO | 1703990 |
| ELDER, DOUG JAMES | SVP - SALES MANAGER | 2358111 |
| FALKENBURG, FRANK BENNER | MANAGING DIRECTOR | 204097 |
| MILLER, HAROLD BLAINE | CHIEF COMPLIANCE OFFICER | 4214267 |
| RANSOM, SAMUEL DOUGLAS | CHIEF FINANCIAL OFFICER | 7690378 |
Regulatory assets under management
| Total Number of Accounts | 4,545 |
| AUM (Assets Under Management) | $ 1,715,376,867 |
Disclosures
| Regulatory Event | 6 |
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.
