Best Investors Account Sign in

James Monroe Tapp

Wells Fargo Clearing Services, LLC

Shelby, NC

Charlotte, NC

Davidson, NC

Claim This Profile
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
NC RA APPROVED 2023-06-12
  • NC RA
    APPROVED
    Since 2023-06-12

Branch Locations

1610 E Marion St Ste 150 Lakeside Commons Complex, Shelby, NC 28150 • United States

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

130 Harbour Pl Dr Ste 200, Davidson, NC 28036 • 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 Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-12
S63 Uniform Securities Agent State Law Examination 1994-05-06
  • S66 Uniform Combined State Law Examination
    2023-06-12
  • S63 Uniform Securities Agent State Law Examination
    1994-05-06
Other Names
  • Jay Tapp

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
MAUNEY-PITT FINANCIAL MANAGEMENT, INC.
EDWARD JONES
MML INVESTORS SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CREDIT UNION INVESTMENT SERVICES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
TRUIST ADVISORY SERVICES, INC.

Other Investors

RICHARD JASON WINN
RICHARD DALE WINN
Jackson Reid Wilson
PATRICK LAWRENCE MAUNEY
ROBERT GRAHAM PITT
Adam Kevin Larsen
Wade Phillip Hartman
THOMAS ALLAN MCNICHOL

Other Offices

LPL FINANCIAL LLC · SHELBY, NC
MAUNEY-PITT FINANCIAL MANAGEMENT, INC. · SHELBY, NC
EDWARD JONES · Shelby, NC
MML INVESTORS SERVICES, LLC · Shelby, NC
LPL FINANCIAL LLC · SHELBY, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Shelby, NC
EDWARD JONES · SHELBY, NC
EDWARD JONES · SHELBY, NC

More in Shelby, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor