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Caleb Stein

Wells Fargo Securities, LLC

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About Caleb Stein

Caleb Stein is a financial professional with over 11 years of experience in the industry. Caleb is currently registered with Wells Fargo Securities, LLC and holds licenses in 53 states and jurisdictions. Caleb holds licenses for Series 63, 99TO, SIE, 86, 87 and 7. Caleb is active in both the broker-dealer and investment advisory industries. Caleb specializes in providing financial advice to individuals and families.

Firm Information

Caleb Stein is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Caleb Stein’s Registration & Firm History

NC

01/06/2012 - Present

Wells Fargo Securities, LLC (Charlotte NC)

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Licenses & Designations

BC

Issued 03/07/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/14/2012

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/16/2012

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/05/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Caleb Stein.
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