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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

James Howard

Advisor at WELLS FARGO ADVISORS

ROANOKE, VA

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Search this name across graphsid dfx:ria:df3a2425-9389-9c5d-7854-0094e1b9c42f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jun 9, 2015 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 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 8, 2015
First registration: Jun 9, 2015
Dual registered: yes, broker-dealer
Other names: JIM HOWARD|JIMMY HOWARD|James Howard|James Robert Howard
IAPD individual key: 6369094

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	Mar 19, 2026	n/a	yes	ROANOKE, VA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Dec 14, 2021	Mar 19, 2026	no	SALEM, VA\|SALEM, VA\|ROANOKE, VA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 27, 2019	Oct 25, 2021	no	ROANOKE, VA\|NEW YORK, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 13, 2018	Jul 16, 2019	no	ROANOKE, VA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Jul 16, 2019	no	OMAHA, NE\|ROANOKE, VA	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Apr 4, 2017	Feb 26, 2018	no	SAINT LOUIS, MO	Previous registration
MORGAN STANLEY	Wirehouse	Sep 28, 2015	Apr 4, 2017	no	Roanoke, VA	Previous registration
BB&T SECURITIES, LLC	Former SEC adviser	Jun 9, 2015	Sep 14, 2015	no	BEDFORD, VA	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
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Mar 19, 2026	Mar 19, 2026	0	Channel change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Oct 25, 2021	Dec 14, 2021	50	Firm change	Wirehouse to wirehouse
TD AMERITRADE, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 16, 2019	Aug 27, 2019	42	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jul 16, 2019	Apr 13, 2018	-459	Channel change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA
MORGAN STANLEY	SCOTTRADE INVESTMENT MANAGEMENT	Apr 4, 2017	Apr 4, 2017	0	Firm change	Other
BB&T SECURITIES, LLC	MORGAN STANLEY	Sep 14, 2015	Sep 28, 2015	14	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
7691:19616:NY:2021-10-15	Oct 25, 2021	Dec 14, 2021	NEW YORK, NY	Firm change

Relationships

Registered with (8)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Mar 19, 2026 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 14, 2021 to Mar 19, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 27, 2019 to Oct 25, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Jul 16, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 13, 2018 to Jul 16, 2019factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Apr 4, 2017 to Feb 26, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 28, 2015 to Apr 4, 2017factForm ADV
→ BB&T SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 9, 2015 to Sep 14, 2015factForm ADV

Dated events

No dated event names this entity yet.