Brian Hatcher
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.
Brian Hatcher, who also goes by Brian J Hatcher, Brian Joseph Hatcher, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 4 firms and has passed the Series 66, Series 7TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2019 - December 14, 2020
WELLS FARGO SECURITIES, LLC
November 17, 2016 - July 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2016 - July 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2011 - September 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2010 - September 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2010 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
January 26, 2007 - March 5, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 15, 2006 - March 5, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 22, 2002 - March 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 1999 - March 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 11/23/2022
General Securities Representative ExaminationSeries 99TO
Date: 11/23/2022
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
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.
