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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)35 years in industry

JOHN HOLLAND RINGGENBERG

Advisor at WELLS FARGO ADVISORS

NAPA, CA | SANTA ROSA, CA | SONOMA, CA

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Search this name across graphsid dfx:ria:51aebe00-79c1-df8b-ff62-2e622e86c0f2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: May 2, 2002 to Sep 15, 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: Sep 4, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63|S65
First exam: Sep 4, 1991
First registration: May 2, 2002
Dual registered: yes, broker-dealer
Other names: JOHN HOLLAND HARRIS
IAPD individual key: 2166670

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	Jun 26, 2020	n/a	yes	SONOMA, CA\|SANTA ROSA, CA\|NAPA, CA	Current employment
MORGAN STANLEY	Wirehouse	Jul 3, 2012	Jun 29, 2020	no	San Francisco, CA\|Santa Rosa, CA\|SAN RAFAEL, CA\|SAN RAFAEL, CA\|Santa Rosa, CA\|SAN RAFAEL, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 19, 2011	Jul 16, 2012	no	San Francisco, CA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Oct 4, 2010	May 20, 2011	no	SAN FRANCISCO, CA	Previous registration
HOLLAND/RINGGENBERG WEALTH STRATEGIES	n/a	Jan 14, 2010	Aug 18, 2011	no	SAN FRANCISCO, CA	Previous registration
JESUP & LAMONT SECURITIES CORP	n/a	Jan 8, 2009	Mar 5, 2009	no	SAN FRANCISCO, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Oct 5, 2006	Jan 30, 2009	no	SAN FRANCISCO, CA	Previous registration
MBSC, LLC	n/a	Apr 1, 2004	Jul 5, 2006	no	PITTSBURGH, PA\|SAN FRANCISCO, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	May 2, 2002	Apr 1, 2004	no	LOS ANGELES, 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	Jun 29, 2020	Jun 26, 2020	-3	Firm change	Wirehouse to wirehouse
AMERIPRISE FINANCIAL SERVICES, LLC	MORGAN STANLEY	Jul 16, 2012	Jul 3, 2012	-13	Firm change	Ibd to wirehouse
HOLLAND/RINGGENBERG WEALTH STRATEGIES	MML INVESTORS SERVICES, LLC	Aug 18, 2011	Oct 4, 2010	-318	Firm change after gap	Other
MML INVESTORS SERVICES, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	May 20, 2011	May 19, 2011	-1	Firm change	Other
JESUP & LAMONT SECURITIES CORP	HOLLAND/RINGGENBERG WEALTH STRATEGIES	Mar 5, 2009	Jan 14, 2010	315	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	JESUP & LAMONT SECURITIES CORP	Jan 30, 2009	Jan 8, 2009	-22	Firm change	Other
MBSC, LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jul 5, 2006	Oct 5, 2006	92	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MBSC, LLC	Apr 1, 2004	Apr 1, 2004	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:19616:CA:2020-06-18	Jun 29, 2020	Jun 26, 2020	SAN RAFAEL, CA	Firm change

Relationships

Registered with (9)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jun 26, 2020 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 3, 2012 to Jun 29, 2020factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 19, 2011 to Jul 16, 2012factForm ADV
→ HOLLAND/RINGGENBERG WEALTH STRATEGIESRegistered adviserregistration: previous registration
Jan 14, 2010 to Aug 18, 2011factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Oct 4, 2010 to May 20, 2011factForm ADV
→ JESUP & LAMONT SECURITIES CORPRegistered adviserregistration: previous registration
Jan 8, 2009 to Mar 5, 2009factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Oct 5, 2006 to Jan 30, 2009factForm ADV
→ MBSC, LLCRegistered adviserregistration: previous registration
Apr 1, 2004 to Jul 5, 2006factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 2, 2002 to Apr 1, 2004factForm ADV

Dated events

No dated event names this entity yet.