James Aloysius Diepenbrock

CRD 1104396 · Wells Fargo Advisors · Incline Village, NV

IA RegisteredBroker

Also appears in the source record as: Jim Diepenbrock

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 3Series 7Series 65Series 63
Registered states (23): Alabama · Alaska · Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Maryland · Minnesota · Nevada · New York · North Carolina · Ohio · South Carolina · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1104396 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (12)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Incline Village, NV · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Sacramento, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Incline Village, NV · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Incline Village, NV · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Sacramento, CA · IA capacity

start not retrieved → present
Morgan Stanley
Sacramento, CA · IA capacity

Jun 1, 2009 → Aug 30, 2018
Morgan Stanley
Sacramento, CA · BC capacity

Jun 1, 2009 → Aug 30, 2018
Citigroup Global Markets Inc.
Sacramento, CA · BC capacity

Apr 17, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
Sacramento, CA · IA capacity

Apr 16, 2008 → Jun 1, 2009
Ubs Financial Services Inc.
Sacramento, CA · IA capacity

Jul 8, 1997 → Apr 28, 2008
Ubs Financial Services Inc.
Sacramento, CA · BC capacity

Jan 28, 1995 → Apr 28, 2008
Kidder, Peabody & Co. Incorporated
New York, NY · BC capacity

Mar 22, 1983 → Jan 28, 1995

Source & corrections

Where this page comes from

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