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EM

Ethan Mead

WELLS FARGO SECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 7341158
EM

Professional summary

Ethan Mead, who also goes by Ethan Garrett Mead, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina.

Ethan is registered as a RR (Registered Representative) and started their career in finance in 2021. Ethan has worked at 4 firms and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ethan Garrett Mead

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) - BD

Click below to view Ethan Mead'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

October 24, 2024 - Present

WELLS FARGO SECURITIES, LLC

Office #1: 550 South Tryon Street, Charlotte, NC 28202
BD
CRD#: 126292
CHARLOTTE, NC
Past

April 1, 2024 - July 2, 2024

CANTOR FITZGERALD & CO.

BD
CRD#: 134
CHARLOTTE, NC
Past

August 1, 2023 - September 26, 2023

BRYAN GARNIER SECURITIES, LLC

BD
CRD#: 152528
NEW YORK, NY
Past

March 5, 2021 - February 9, 2023

WILLIAM BLAIR

BD
CRD#: 1252
CHARLOTTE, NC

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(10/24/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/19/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/5/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/27/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC

CRD#: 126292 / SEC#: , 8-65876

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EVEREN CAPITAL CORPORATIONPARENT
CHESTER, KARA MCSHANEDIRECTOR/MANAGER2679854
CONNOR, TIMOTHY MICHAELPRINCIPAL FINANCIAL OFFICER8157713
MACCHIO, PETERCHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER2124187
OHARA, TIMOTHY PATRICKDIRECTOR/MANAGER2095368
PETERS, MARY LOUDIRECTOR/MANAGER/CONTROL PRINCIPAL4062788
RILEY, MICHAEL FRANCISDIRECTOR/MANAGER4165280
RIVAS, FERNANDO SCHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER4803269
SMITH, DANIEL DCHIEF OPERATIONS OFFICER5500659
THOMAS, DANIEL JEROME JRDIRECTOR/MANAGER

Disclosures

Regulatory Event158
Civil Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WELLS FARGO SECURITIES, LLC

CRD#: 126292Charlotte, NC 28202

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