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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

RICHARD JOHN JENNINGS

Advisor at WELLS FARGO ADVISORS

ALLENTOWN, PA

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Search this name across graphsid dfx:ria:3605f84a-90f8-eec5-a354-5cd13cab9f66

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2007 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: Mar 20, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 20, 1995
First registration: Nov 16, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 2509021

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	Jul 28, 2014	n/a	yes	ALLENTOWN, PA\|ALLENTOWN, PA	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Jul 29, 2014	no	ALLENTOWN, PA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jul 14, 2008	Jan 2, 2009	no	ALLENTOWN, PA\|LANCASTER, PA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Nov 16, 2007	May 22, 2008	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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	WELLS FARGO ADVISORS	Jul 29, 2014	Jul 28, 2014	-1	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
CETERA INVESTMENT SERVICES LLC	RAYMOND JAMES FINANCIAL SERVICES, INC.	May 22, 2008	Jul 14, 2008	53	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jul 28, 2014 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Jul 29, 2014factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 14, 2008 to Jan 2, 2009factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Nov 16, 2007 to May 22, 2008factForm ADV

Dated events

No dated event names this entity yet.