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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

RICHARD JAMES GERHART

Advisor at WELLS FARGO ADVISORS

ALLENTOWN, PA

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Search this name across graphsid dfx:ria:08ebdd2a-7a97-f136-591f-bdd0c0662e8b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 18, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 14, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 14, 2003
First registration: Jul 18, 2003
Dual registered: yes, broker-dealer
Other names: RICHARD JAMES GERHART|RICHARD GERHART
IAPD individual key: 4632545

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Sep 29, 2022	n/a	yes	ALLENTOWN, PA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 5, 2008	Oct 4, 2022	no	Center Valley, PA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 28, 2004	Dec 9, 2008	no	ALLENTOWN, PA\|ALLENTOWN, PA\|ALLENTOWN, PA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 18, 2003	Sep 23, 2004	no	ALLENTOWN, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	WELLS FARGO ADVISORS	Oct 4, 2022	Sep 29, 2022	-5	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 9, 2008	Dec 5, 2008	-4	Firm change	Wirehouse to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	WELLS FARGO ADVISORS	Sep 23, 2004	Sep 28, 2004	5	Firm change	Ibd to wirehouse

Relationships

Registered with (2)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 28, 2004 to Dec 9, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 5, 2008 to Oct 4, 2022factForm ADV

Dated events

Occurred
Oct 4, 2022
Advisor changed firm
Richard James Gerhart left Ameriprise Financial Services, Llc for Wells Fargo Advisors (registered 2022-09-29)
Form ADVobserved 6 days ago