James Ellis Percifield

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2016-12-20
IN	RA	APPROVED	2014-12-02
TX	RA	APPROVED_RES	2014-11-25

FL RA
APPROVED

Since 2016-12-20
IN RA
APPROVED

Since 2014-12-02
TX RA
APPROVED_RES

Since 2014-11-25

Branch Locations

8585 Broadway Ste 800, Merrillville, IN 46410 • United States

13515 Bell Tower Dr Ste 100, Fort Myers, FL 33907 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Chestertown	IN	11/2014	11/2016
Wells Fargo Clearing Services, Llc	Chestertown	IN	11/2016	Present

11/2014 → 11/2016

Wells Fargo Advisors Llc

Chestertown, IN
11/2016 → Present

Wells Fargo Clearing Services, Llc

Chestertown, IN

Previous Registrations

2008-11-12 → 2014-12-01

Ubs Financial Services Inc.

Chicago, IL

Chicago, IL
1998-12-15 → 2008-11-14

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Merrillville, IN

Merrillville, IN

Other Businesses

RENTAL PROPERTY; INV RELATED; MICHIGAN CITY, IN; RESIDENTIAL, TOWNHOME; 100% OWNERSHIP; START 9/1/2015; 0 HOURS PER MONTH, 0 DURING TRADING; OWN/MANAGE UNIT.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-03-30
S63	Uniform Securities Agent State Law Examination	1992-02-12

S65 Uniform Investment Adviser Law Examination

1994-03-30
S63 Uniform Securities Agent State Law Examination

1992-02-12

View on SEC IAPD