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Richard J. Adams

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CRD#: 2896069
RA

Professional summary

Richard Juan Adams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Richard had worked at 4 firms, which includes WELLS FARGO INVESTMENTS LLC, WELLS FARGO BROKERAGE SERVICES L.L.C., WELLS FARGO SECURITIES INC., INSTITUTIONAL CAPITAL MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 13, 2000 - March 6, 2002

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

November 9, 2000 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

May 10, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

September 25, 1998 - May 4, 2000

INSTITUTIONAL CAPITAL MANAGEMENT, INC.

BD
CRD#: 41055
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/7/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/8/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/2/1998
General Securities Representative Examination

Current Firm

WF
WELLS FARGO INVESTMENTS, LLC
CABLE, HOWSE & RAGEN | WELLS FARO INVESTMENTS, LLC | WELLS FARGO INVESTMENTS, LLC DBA WELLS FARGO VAN KASPER | WELLS FARGO INVESTMENTS, LLC DBA RAGEN MACKENZIE | WELLS FARGO INVESTMENTS, LLC | WELLS FARGO INVESTMENT, LLC | WELLS FARGO ADVISORS | RAGEN MACKENZIE INCORPORATED | RAGEN MACKENZIE | CABLE, HOWSE & RAGEN INCORPORATED

CRD#: 10582 / SEC#: , 8-38588

BD
Terminated by SEC on 03/28/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLS FARGO INVESTMENT GROUP, INC.DIRECT OWNER
AMADOR, LISA ANNECHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY1336656
BENSUSSEN, VICTOR LAWRENCEDIRECTOR/TREASURER & CFO1523151
CAMERANESI, KENNETH STEVENDIRECTOR1292159
DAGGS, CHARLES WILLARD IIICHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR59782
GRANGER, CLIFF GEVANAML COMPLIANCE OFFICER4787929
PERKEL, RACHEL KENYONDIRECTOR2445943
WELKER, JAY SCOTTCHAIRMAN & DIRECTOR2869678
YERSIN, LINCOLN BLAINEDIRECTOR1715424

Disclosures

Regulatory Event53
Arbitration33

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

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

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