James J. Mcandrews
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.
James Joseph Mcandrews JR, who also goes by James Joseph Mcandrew Jr, James J Mcandrews Jr, James Joseph Mcandrews, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 8 firms and has passed the Series 63, SIE, Series 5 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
October 1, 2010 - January 7, 2016
WELLS FARGO SECURITIES, LLC
January 1, 2008 - October 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 22, 1999 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 30, 1998 - July 2, 1999
TRADE.COM ONLINE SECURITIES, INC.
September 6, 1995 - March 15, 1998
TUCKER ANTHONY INCORPORATED
June 2, 1995 - August 17, 1995
H.C.WAINWRIGHT & CO., LLC
April 10, 1991 - April 30, 1993
LEHMAN BROTHERS INC.
June 23, 1981 - March 27, 1991
GOLDMAN SACHS & CO. LLC
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 5
Date: 4/20/1982
Interest Rate Options 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
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