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Ethan Carey

Wells Fargo Securities, LLC

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About Ethan Carey

Ethan Carey is a financial professional with experience in the financial services industry. Ethan has a Series 7, 6, 63, 22, 79, 82, 99TO and SIE licenses and has worked with Wells Fargo Clearing Services, LLC and currently works with Wells Fargo Securities, LLC.

Firm Information

Ethan Carey 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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Ethan Carey’s Registration & Firm History

NY

03/30/2022 - Present

Wells Fargo Securities, LLC (New York NY)

MO

01/24/2022 - 03/29/2022

WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 03/28/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 01/02/2023

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 06/13/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/24/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/04/2021

SIE - Securities Industry Essentials 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 Ethan Carey.
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