Joshua P. Wells
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.
Joshua Patrick Wells, who also goes by Josh Wells, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1999. Joshua had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2020 - December 20, 2023
LPL FINANCIAL LLC
September 14, 2020 - December 20, 2023
LPL FINANCIAL LLC
November 8, 2016 - September 15, 2020
OSAIC INSTITUTIONS, INC.
November 8, 2016 - September 15, 2020
OSAIC INSTITUTIONS, INC.
January 31, 2014 - November 22, 2016
LPL FINANCIAL LLC
January 31, 2014 - November 22, 2016
LPL FINANCIAL LLC
April 2, 2013 - November 4, 2013
SANTANDER SECURITIES LLC
April 2, 2013 - November 4, 2013
SANTANDER SECURITIES LLC
July 1, 2010 - March 25, 2013
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
July 1, 2010 - March 25, 2013
NEWEDGE SECURITIES, LLC
July 2, 2008 - July 8, 2010
PNC WEALTH MANAGEMENT LLC
July 2, 2008 - July 8, 2010
PNC WEALTH MANAGEMENT LLC
May 27, 2008 - July 22, 2008
LPL FINANCIAL LLC
May 27, 2008 - July 22, 2008
LPL FINANCIAL LLC
August 9, 2004 - May 27, 2008
IFMG SECURITIES, INC.
August 4, 2004 - May 27, 2008
IFMG SECURITIES, INC.
February 19, 2003 - July 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2002 - July 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 1999 - October 8, 2002
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
