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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

CLAY WHEELER

Advisor at WELLS FARGO ADVISORS

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:54257659-e8aa-ceab-5bb8-452278ace24e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 8, 1999 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: Jun 30, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 30, 1999
First registration: Oct 8, 1999
Dual registered: yes, broker-dealer
Other names: L CLAY WHEELER|L CLAY WHEELER
IAPD individual key: 3231517

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 6, 2022	n/a	yes	BIRMINGHAM, AL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 17, 2010	Jun 6, 2022	no	BIRMINGHAM, AL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Sep 20, 2010	no	BIRMINGHAM, AL\|BIRMINGHAM, AL	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Oct 8, 1999	Jul 1, 2003	no	BIRMINGHAM, AL	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Jun 6, 2022	Jun 6, 2022	0	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 20, 2010	Sep 17, 2010	-3	Firm change	Wirehouse to wirehouse
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (3)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Sep 20, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 17, 2010 to Jun 6, 2022factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Oct 8, 1999 to Jul 1, 2003factForm ADV

Dated events

Occurred
Jun 6, 2022
Advisor changed firm
Clay Wheeler left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2022-06-06)
Form ADVobserved 5 days ago