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Matthew James Botts

Wells Fargo Securities, LLC

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About Matthew James Botts

Matthew James Botts is a financial professional who has been in the industry since March 11, 2007. Matthew is currently registered with Wells Fargo Securities, LLC and is located in Charlotte, North Carolina. Matthew has a Series 7, Series 63 and Series 99TO license and is licensed in North Carolina. Matthew has previously worked with The Huntington Investment Company and Ameriprise Financial Services, Inc.

Firm Information

Matthew Botts 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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Matthew Botts’s Registration & Firm History

NC

01/16/2008 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

OH

03/09/2007 - 10/30/2007

THE HUNTINGTON INVESTMENT COMPANY (HILLIARD OH)

OH

07/24/2006 - 10/05/2006

AMERIPRISE FINANCIAL SERVICES, INC. (DUBLIN OH)

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Licenses & Designations

BC

Issued 11/01/2010

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 07/21/2006

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 Matthew James Botts.
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