Fred N. 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.
Fred Norfolk Wells, who also goes by Fred N Wells, Fred Norfolk Wells Jr, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1975. Fred had worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 5, PC, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2010 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
January 31, 2002 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
September 11, 2001 - February 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 1998 - May 20, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - May 15, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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: 10/12/1981
Interest Rate Options ExaminationPC
Date: 5/8/1977
AMEX Put and Call ExamCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
