Albert M Stephens

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 12/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 06/2016 → 12/2017
  Bank Of America, N.A.
  Charlotte, NC
• 12/2017 → 06/2024
  First Citizens Bank
  Charlotte, NC
• 12/2017 → 06/2024
  First Citizens Investor Services
  Raleigh, NC
• 06/2024 → Present
  Wells Fargo Clearing Services, Llc
  Charlotte, NC

Previous Registrations

• 2017-12-19 → 2024-07-02
  First Citizens Investor Services, Inc.
  Charlotte, NC
  Columbia, SC
• 2016-02-16 → 2017-12-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC

Other Businesses

1. THE LEGACY HOLDINGS LLC; INV. RELATED; MOUNT HOLLY, NC; 50% OWNERSHIP; HOLDS REAL ESTATE; START DATE 3/1/2021; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. 2. OLDE MECKLENBURG BUILDERS LLC; INV. RELATED; MOUNT HOLLY, NC; 50% OWNERSHIP; COMPANY HANDLES MAINTENANCE AND REPAIRS FOR RENTAL PROPERTIES; START DATE 12/9/2019; 5 HOURS PER MONTH; 0 HOURS DURING TRADING; DUTIES: SCHEDULE SUBCONTRACTORS FOR ANY NECESSARY MAINTENANCE AND REPAIR PROPERTIES. 3. RENTAL PROPERTY; INV. RELATED; DENVER, NC; 50% OWNERSHIP; LAKE HOUSE; START DATE 3/1/2021; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. RENTAL PROPERTY - 329/331 WOODVALE PLACE; INV RELATED;CHARLOTTE,NC; RENTAL PROPERTY;100% OWNERSHIP; OWNER; START DATE: 05/23/2014; 1 HRS PER MONTH; 0 HRS DURING TRADING; 4. RENTAL PROPERTY; INV. RELATED; MOUNT HOLLY, NC; 100% OWNERSHIP; START DATE 8/29/2005; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. 5. RENTAL PROPERTY; INV. RELATED; KINGS MOUNTAIN, NC; 100% OWNERSHIP; START DATE 7/12/2012; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. 6. RENTAL PROPERTY; INV. RELATED; CHARLOTTE, NC; 100% OWNERSHIP; START DATE 10/1/2004; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. 7. RENTAL PROPERTY; INV. RELATED; CHARLOTTE, NC; 100% OWNERSHIP; START DATE 7/1/2014; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. 8. RENTAL PROPERTY; INV. RELATED; CHARLOTTE, NC; 100% OWNERSHIP; START DATE 8/1/2020; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. 9. GASTON COUNTY BOARD OF EDUCATION; NOT INV. RELATED; GASTONIA, NC; START DATE 12/19/2022; 4 HOURS PER MONTH; 0 HOURS DURING TRADING; DUTIES: ATTEND MEETINGS, SET POLICY; ESTABLISH GUIDELINES FOR OPERATIONS AND HIRE A NEW SUPERINTENDENTS SHOULD THE SCHOOL SYSTEM NEED ONE. GASTON COUNTY BOARD OF EDUCATION; NOT INV RELATED; GASTONIA,NC; BOARD MEMBER; START DATE: 12/07/2026; 4 HRS PER MONTH; 0 HRS DURING TRADING; RENTAL PROPERTY; INV RELATED;BELMONT,NC; RENTAL PROPERTY;100% OWNERSHIP; START DATE: 08/01/2024; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

• S66 Uniform Combined State Law Examination
  2016-02-10

Other Names

• A.M. Stephens
• Albert Melton Stephens
• Albert M Stephens