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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2020-01-17
TX RA APPROVED_RES 2020-01-17
  • NC RA
    APPROVED
    Since 2020-01-17
  • TX RA
    APPROVED_RES
    Since 2020-01-17

Branch Locations

3110 Edwards Mill Rd Ste 205, Raleigh, NC 27612 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Raleigh NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 01/2020
Wells Fargo Advisors Financial Network, Llc Raleigh NC 01/2020 Present
Previous Registrations
  • 2008-01-01 → 2020-01-17
    Raleigh, NC
    Danville, VA
    Raleigh, NC
  • 2004-04-14 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Danville, VA
    St. Louis, MO
Other Businesses

MOUNT MORIAH BAPTIST CHURCH; INV RELATED; RALEIGH, NC; CHURCH RELIGION ; FINANCE COMMITTEE MEMBER; START DATE: 09/04/2025; 2 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-13
S63 Uniform Securities Agent State Law Examination 1983-12-21
  • S66 Uniform Combined State Law Examination
    2004-04-13
  • S63 Uniform Securities Agent State Law Examination
    1983-12-21
Other Names
  • Larry Benjamin Swaney

View on SEC IAPD

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