Brian Patrick Dunphy

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
TX	RA	APPROVED_RES	2020-01-06
SC	RA	APPROVED	2004-07-18

TX RA
APPROVED_RES

Since 2020-01-06
SC RA
APPROVED

Since 2004-07-18

Branch Locations

10136 Two Notch Rd Ste 102, Columbia, SC 29229 • United States

1320 Main St Ste 600, Columbia, SC 29201 • 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	Columbia	SC	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Columbia	SC	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Columbia, SC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Columbia, SC

Previous Registrations

1995-05-02 → 2004-08-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Columbia, SC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-07
S63	Uniform Securities Agent State Law Examination	1993-02-09

S65 Uniform Investment Adviser Law Examination

1993-12-07
S63 Uniform Securities Agent State Law Examination

1993-02-09

Other Names

Brian P Dunphy

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews