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James Nicholas Kline

Wells Fargo Clearing Services, LLC

Newport News, VA

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-09-28
VA RA APPROVED 2012-03-21
  • TX RA
    APPROVED
    Since 2012-09-28
  • VA RA
    APPROVED
    Since 2012-03-21

Branch Locations

11817 Canon Blvd Ste 100 [Oh-Rbo], Newport News, VA 23606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Newport News VA 08/2011 11/2016
Wachovia Bank, N.A. Newport News VA 08/2011 Present
Wells Fargo Clearing Services, Llc Newport News VA 11/2016 Present
  • 08/2011 → 11/2016
    Wells Fargo Advisors Llc
    Newport News, VA
  • 08/2011 → Present
    Wachovia Bank, N.A.
    Newport News, VA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Newport News, VA
Other Businesses

POWER OF ATTORNEY FOR FATHER, INV RELATED, YORKTOWN, VA, START: 5/11/2021, 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-03-20
S63 Uniform Securities Agent State Law Examination 2011-05-16
  • S65 Uniform Investment Adviser Law Examination
    2012-03-20
  • S63 Uniform Securities Agent State Law Examination
    2011-05-16
Other Names
  • James N Kline
  • Jim Kline

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Newport News, VA
LPL FINANCIAL LLC · NEWPORT NEWS, VA
OCTOBER EFFECT LTD. · Newport News, VA
INTERACTIVE FINANCIAL ADVISORS · Newport News, VA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · NEWPORT NEW, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Newport News, VA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NEWPORT NEWS, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Newport News, VA

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