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BA

Brian D. Ames

WELLS FARGO SECURITIES
CHARLOTTE, NC 28262
Some features on this profile are disabled
CRD#: 7794347
BA
Brian Duncan AmesWELLS FARGO SECURITIES

Professional summary

Brian Duncan Ames is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2023. Brian has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Duncan Ames'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

June 18, 2026 - Present

WELLS FARGO SECURITIES, LLC

Office #1: 1525 W Wt Harris Blvd Building 3a, Charlotte, NC 28262
BD
CRD#: 126292
CHARLOTTE, NC
Past

May 24, 2024 - June 16, 2026

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC
Past

May 13, 2024 - June 16, 2026

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

August 22, 2023 - April 29, 2024

FLORIDA FINANCIAL ADVISORS, LLC

RIA
CRD#: 288811
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
(6/18/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/11/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/27/2023
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/24/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/18/2023
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)

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

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Company Information

WELLS FARGO SECURITIES, LLC

CRD#: 126292Charlotte, NC 28262

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