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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

ADAM WEST

Advisor at WELLS FARGO ADVISORS

ST. LOUIS, MO | BOSTON, MA

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Search this name across graphsid dfx:ria:f43dfec5-cc8a-eae3-f81f-135956cb5478

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 8, 2013 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: Aug 4, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Aug 4, 2006
First registration: Jul 8, 2013
Dual registered: yes, broker-dealer
Other names: ADAM P MAFFEO|ADAM MAFFEO|Adam West|ADAM PASQUALE WEST|Adam P West
IAPD individual key: 2441585

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	Oct 2, 2024	n/a	yes	ST. LOUIS, MO\|BOSTON, MA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 21, 2020	Jul 30, 2024	no	Boston, MA\|Newton, MA\|Minneapolis, MN	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 13, 2019	Jan 13, 2020	no	Boston, MA\|Marlton, NJ	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Jun 6, 2017	May 24, 2019	no	Westwood, MA\|East Milton, MA\|Braintree, MA\|Framingham, MA\|Plymouth, MA\|Newtonville, MA\|BOSTON, MA\|WEST NEWTON, MA\|Abington, MA	Previous registration
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Jul 14, 2015	Jun 1, 2017	no	BOSTON, MA\|ANDOVER, MA\|ANDOVER, MA\|Worcester, MA\|WILTON, CT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 8, 2013	Jun 23, 2015	no	ST. LOUIS, MO\|BOSTON, MA	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	Jul 30, 2024	Oct 2, 2024	64	Firm change	Ibd to wirehouse
CHARLES SCHWAB & CO., INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 13, 2020	Feb 21, 2020	39	Firm change	Ibd to ibd
SANTANDER SECURITIES	CHARLES SCHWAB & CO., INC.	May 24, 2019	Jun 13, 2019	20	Firm change	Ibd to ibd
TD PRIVATE CLIENT WEALTH LLC	SANTANDER SECURITIES	Jun 1, 2017	Jun 6, 2017	5	Firm change	Other
WELLS FARGO ADVISORS	TD PRIVATE CLIENT WEALTH LLC	Jun 23, 2015	Jul 14, 2015	21	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 2, 2024 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 21, 2020 to Jul 30, 2024factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jun 13, 2019 to Jan 13, 2020factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Jun 6, 2017 to May 24, 2019factForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Jul 14, 2015 to Jun 1, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 8, 2013 to Jun 23, 2015factForm ADV

Dated events

Occurred
Jul 30, 2024
Advisor changed firm
Adam West left Ameriprise Financial Services, Llc for Wells Fargo Advisors (registered 2024-10-02)
Form ADVobserved 4 days ago