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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

JAMES HOLLIS BRANDT

Advisor at WELLS FARGO ADVISORS

WALNUT CREEK, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: Jul 14, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 14, 1987
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: JAMES HOLLIS BRANDT|JAMES HOLLIS BRANDT|JIM BRANDT
IAPD individual key: 1686612

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 19, 2019	n/a	yes	WALNUT CREEK, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 23, 2019	no	WALNUT CREEK, CA\|Walnut Creek, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 27, 2009	Jun 1, 2009	no	WALNUT CREEK, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 6, 2002	Mar 25, 2009	no	WALNUT CREEK, CA\|WALNUT CREEK, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jul 8, 1997	Dec 11, 2002	no	WALNUT CREEK, CA	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
MORGAN STANLEY	WELLS FARGO ADVISORS	Jul 23, 2019	Jul 19, 2019	-4	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Mar 25, 2009	Feb 27, 2009	-26	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	UBS FINANCIAL SERVICES INC.	Dec 11, 2002	Dec 6, 2002	-5	Firm change	Other

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jul 19, 2019 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 23, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 27, 2009 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 6, 2002 to Mar 25, 2009factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jul 8, 1997 to Dec 11, 2002factForm ADV

Dated events

No dated event names this entity yet.