Richard Harding

CRD 1745949 · Wells Fargo Advisors · Corte Madera, CA

IA RegisteredBroker

Also appears in the source record as: Richard H Harding; Richard Henry Harding

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 3Series 30Series 65Series 63
Registered states (32): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Maine · Maryland · Massachusetts · Michigan · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Rhode Island · South Carolina · South Dakota · Texas · Utah · Virginia · Washington
Years in the industry (source record): 22
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (9)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Corte Madera, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Corte Madera, CA · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mill Valley, CA · IA capacity

Nov 8, 2010 → Nov 18, 2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mill Valley, CA · BC capacity

Sep 2, 2010 → Nov 18, 2020
Citigroup Global Markets Inc.
New York, NY · BC capacity

Jan 29, 2007 → Jan 11, 2010
Wells Fargo Investments, LLC
San Francisco, CA · BC capacity

Aug 14, 2006 → Sep 6, 2006
Bzw Securities Inc.
New York, NY · BC capacity

Mar 8, 1996 → Nov 4, 1996
Deutsche Morgan Grenfell/C. J. Lawrence Inc.
New York, NY · BC capacity

Sep 30, 1993 → Feb 27, 1996
Deutsche Bank Government Securities, Inc
BC capacity

Sep 13, 1993 → Sep 30, 1993

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1745949 ↗ FINRA BrokerCheck record for CRD 1745949 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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