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James Bernard Brockett

Wells Fargo Advisors Financial Network, LLC

Bethesda, MD

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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-11-19
MD RA APPROVED 2017-05-10
  • TX RA
    APPROVED_RES
    Since 2021-11-19
  • MD RA
    APPROVED
    Since 2017-05-10

Branch Locations

7200 Wisconsin Ave Ste 903, Bethesda, MD 20814 • 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 Financial Network, Llc Bethesda MD 12/2016 Present
Morgan Stanley Smith Barney Bethesda MD 06/2015 10/2016
Other Businesses

BROCKETT CAPITAL LLC, INV RELATED, SILVER SPRING, MD, 100% OWNERSHIP, START 8/1/2022, 175 HOURS PER MONTH, 175 HOURS DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-10
  • S66 Uniform Combined State Law Examination
    2017-05-10
Other Names
  • James Bernard Brockett

View on SEC IAPD

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KALAMATA ASSET MANAGEMENT LLC · BETHESDA, MD
GLASSY MOUNTAIN ADVISORS, INC. · BETHESDA, MD
NOORDZEE CAPITAL LLC · BETHESDA, MD
HIGHTOWER ADVISORS, LLC · BETHESDA, MD
GOLDEN WEALTH STRATEGIES · Bethesda, MD
FIDELIS CAPITAL · Bethesda, MD

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