Dean M. Wells

MODERN CAPITAL ADVISORS

Bloomington, IN 47408

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CRD#: 4094229

Professional summary

Dean M Wells is a registered financial advisor currently at MODERN CAPITAL ADVISORS, LLC located in Bloomington, Indiana.

Dean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Dean has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.

1. 9/21/07 - DBA - WELLS INVESTMENT SERVICES. 2. 10/01/2010 - NON-VARIABLE INSURANCE, I WOULD LIKE TO SELL MEDICARE SUPPLEMENT PLANS, MEDICARE ADVANTAGE PLANS AND SENIOR ANCILLARY PRODUCTS., 20%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean M Wells's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 21, 2022 - Present

MODERN CAPITAL ADVISORS, LLC

Office #1: 403 E Sixth St Suite 150, Bloomington, IN 47408

RIA

CRD#: 131117

Bloomington, IN

Past

January 10, 2012 - December 31, 2021

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Bloomington, IN

Past

December 12, 2011 - October 31, 2025

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

September 21, 2007 - December 9, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SPENCER, IN

Past

September 21, 2007 - December 9, 2011

LPL FINANCIAL LLC

CRD#: 6413

SPENCER, IN

Past

August 28, 2007 - September 24, 2007

EDWARD JONES

RIA

CRD#: 250

SPENCER, IN

Past

December 11, 2002 - September 24, 2007

EDWARD JONES

CRD#: 250

SPENCER, IN

Past

May 22, 2000 - December 10, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/21/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/1/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/2008

General Securities Principal Examination

Current Firm

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

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Contact information

Main Address

7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617

Mailing Address

Phone number

(800) 440-0442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts	1,561
AUM (Assets Under Management)	$ 285,401,221

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.

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Dean M. Wells

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean M Wells's CRS (Customer Relationship Summary).

Certified licenses

Experience

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

MODERN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2007

Series 63

Date: 6/1/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2000

Series 24

Date: 1/19/2008

Current Firm

MODERN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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