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Malphus Timothy Gaines

Wells Fargo Clearing Services, LLC

Greensboro, NC

Winston Salem, NC

Burlington, NC

Burlington, NC

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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 2017-03-13
NC RA APPROVED 2010-03-01
  • TX RA
    APPROVED
    Since 2017-03-13
  • NC RA
    APPROVED
    Since 2010-03-01

Branch Locations

806 Green Valley Rd Ste 100, Greensboro, NC 27408 • United States

380 Knollwood St Ste 600, Winston Salem, NC 27103 • United States

1708 Westbrook Ave, Burlington, NC 27215 • United States

Burlington, NC • 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 Greensboro NC 02/2010 11/2016
Wells Fargo Clearing Services, Llc Greensboro NC 11/2016 Present
Previous Registrations
  • 2009-05-08 → 2009-08-04
    Invest Financial Corporation
    Greensboro, NC
  • 2001-12-31 → 2009-05-13
    Ubs Financial Services Inc.
    Greensboro, NC
    Greensboro, NC
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; GREENSBORO, NC; RENTAL HOME; OWNER; START DATE 1987; 0 HRS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-07
S63 Uniform Securities Agent State Law Examination 1984-03-23
  • S65 Uniform Investment Adviser Law Examination
    1999-06-07
  • S63 Uniform Securities Agent State Law Examination
    1984-03-23
Other Names
  • M Timothy Gaines
  • Tim Gaines

View on SEC IAPD

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BY DESIGN FINANCIAL PLANNING
AMERITAS ADVISORY SERVICES, LLC
SMITH PARTNERS WEALTH MANAGEMENT, LLC
CREDIT UNION INVESTMENT SERVICES

Other Investors

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Douglas Kenely
Ashley Cook
KEVIN BLAKE GUNTER
Jeffrey David Bercaw
John B Bailey
RANDAL LYNN SIPKEMA
PHILLIP PATRICK SIELATYCKI

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · GREENSBORO, NC
BANKERS LIFE ADVISORY SERVICES, INC. · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
BY DESIGN FINANCIAL PLANNING · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC

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