Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Philip Wauters is a financial professional with over 30 years of experience in the industry. John is currently registered with Wells Fargo Securities, LLC, a firm that is not in scope for Investment Advisor Regulation. John has been with Wells Fargo Securities, LLC since October 25, 2005. Previously, John has held positions at Morgan Stanley DW INC., J.P. MORGAN SECURITIES INC. and DEAN WITTER REYNOLDS INC. John is licensed in 53 states and holds a variety of licenses including Series 7, 24, 63, 65 and SIE.
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.
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.
1
2
NY
10/25/2005 - Present
Wells Fargo Securities, LLC (New York NY)
NY
03/11/1996 - 10/10/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
06/28/1995 - 03/04/1996
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
06/30/1993 - 06/23/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 01/11/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/1993
Series 7 - General Securities Representative Examination
Active
Inactive
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
Not sure John Wauters is the right advisor for you? Invested Better is here to help.
