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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

RICHARD KENNETH CHILDRESS

Advisor at WELLS FARGO ADVISORS

NAPLES, FL

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Search this name across graphsid dfx:ria:ca4fb74c-a57a-42b2-2981-5b4deed70e95

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 10, 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 10, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jul 21, 1997
First registration: Jul 10, 1997
Dual registered: yes, broker-dealer
Other names: RICK CHILDRESS|RICHARD K CHILDRESS
IAPD individual key: 2888281

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	Nov 22, 2024	n/a	yes	NAPLES, FL\|NAPLES, FL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 26, 2013	Nov 27, 2024	no	Fort Myers, FL\|Naples, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 1, 2006	May 6, 2013	no	FORT MYERS, FL\|BONITA SPRINGS, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 10, 1997	Sep 8, 2006	no	FORT MYERS, FL\|FORT MYERS, FL	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	Nov 27, 2024	Nov 22, 2024	-5	Firm change	Ibd to wirehouse
UBS FINANCIAL SERVICES INC.	AMERIPRISE FINANCIAL SERVICES, LLC	May 6, 2013	Apr 26, 2013	-10	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Sep 8, 2006	Sep 1, 2006	-7	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Nov 22, 2024 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 26, 2013 to Nov 27, 2024factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 1, 2006 to May 6, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 10, 1997 to Sep 8, 2006factForm ADV

Dated events

Occurred
Nov 27, 2024
Advisor changed firm
Richard Kenneth Childress left Ameriprise Financial Services, Llc for Wells Fargo Advisors (registered 2024-11-22)
Form ADVobserved 5 days ago