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James Firth Dowley

Wells Fargo Clearing Services, LLC

Aspen, CO

Carbondale, CO

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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_RES 2016-09-08
CO RA APPROVED 2010-10-13
CA RA APPROVED 2009-06-19
  • TX RA
    APPROVED_RES
    Since 2016-09-08
  • CO RA
    APPROVED
    Since 2010-10-13
  • CA RA
    APPROVED
    Since 2009-06-19

Branch Locations

119 S Mill St, Aspen, CO 81611 • United States

Carbondale, CO • 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 East Palo Alto CA 06/2009 11/2016
Wells Fargo Clearing Services, Llc East Palo Alto CA 11/2016 Present
Previous Registrations
Other Businesses

TRUSTEE FOR PARENT, INV RELATED, LA JOLLA, CA, START: 2/16/2021, 2 HRS/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-04
S63 Uniform Securities Agent State Law Examination 1991-07-23
  • S66 Uniform Combined State Law Examination
    2002-12-04
  • S63 Uniform Securities Agent State Law Examination
    1991-07-23
Other Names
  • Jim Dowley

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FOUNDATIONS INVESTMENT ADVISORS LLC
PCM ENCORE, LLC

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Jeffrey Allan Sgroi
ADAM STEVENSON
SARAH KATHERINE STACHNIK
JODY ANN SWAPP
CHRISTOPHER RICHARDS SABELLA
Charles C. Smith
Scott ROGER Mercier
BRIAN E OVERBO

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ASPEN, CO
STEVENSON ADVISORS, LLC · ASPEN, CO
INTEGRATED BENEFITS, INCORPORATED · Aspen, CO
ASHTON THOMAS SECURITIES, LLC · Aspen, CO
J.P. MORGAN SECURITIES LLC · Aspen, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ASPEN, CO
WELLS FARGO CLEARING SERVICES, LLC · ASPEN, CO
FOUNDATIONS INVESTMENT ADVISORS LLC · ASPEN, CO

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