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Jay Charles Cavanagh

Wells Fargo Securities, LLC

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About Jay Charles Cavanagh

Jay Charles Cavanagh is a financial advisor with Wells Fargo Securities, LLC, a firm with an active Broker-Dealer (BC) scope and not in scope for Investment Advisor (IA). Jay has been in the financial services industry since 2007. Prior to joining Wells Fargo Securities, LLC, Jay was a financial advisor at WELLS FARGO BROKERAGE SERVICES, L.L.C. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Jay is a licensed Series 7, Series 66, and Series 99TO representative, and a registered representative in multiple states.

Firm Information

Jay Cavanagh 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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Jay Cavanagh’s Registration & Firm History

MN

11/06/2009 - Present

Wells Fargo Securities, LLC (MINNEAPOLIS MN)

MN

10/23/2007 - 11/06/2009

WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)

MN

05/21/2007 - 10/24/2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 09/11/2007

Series 66 - Uniform Combined 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 05/18/2007

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 Jay Charles Cavanagh.
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