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Pontea Fazeli Dixon

Wells Fargo Securities, LLC

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About Pontea Fazeli Dixon

Pontea Fazeli Dixon is a financial advisor with over 18 years of experience in the industry. Pontea is currently registered with Wells Fargo Securities, LLC and has been with the firm since April 2013. Prior to that, Pontea worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and BANC OF AMERICA SECURITIES LLC. Pontea holds the Series 63, Series 7, Series 99TO and SIE licenses and is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Firm Information

Pontea Dixon 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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Pontea Dixon’s Registration & Firm History

NC

04/24/2013 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

NY

11/01/2010 - 04/23/2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

06/29/2004 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/17/2004

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 06/28/2004

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 Pontea Fazeli Dixon.
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