James Edward Gracia

CRD 1951914 · Wells Fargo Advisors · Colorado Springs, CO

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 10Series 9Series 65Series 63
Registered states (12): California · Colorado · Florida · Illinois · Maine · Minnesota · New Jersey · New York · Oklahoma · South Carolina · Tennessee · Texas
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1951914 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 (13)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Colorado Springs, CO · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Colorado Springs, CO · BC capacity

start not retrieved → present
U.S. Bancorp Investments, Inc.
Colorado Springs, CO · IA capacity

Mar 29, 2010 → Jun 21, 2019
U.S. Bancorp Investments, Inc.
Colorado Springs, CO · BC capacity

Mar 29, 2010 → Jun 21, 2019
Key Investment Services LLC
Colorado Springs, CO · IA capacity

May 7, 2009 → Mar 29, 2010
Key Investment Services LLC
Colorado Springs, CO · BC capacity

May 7, 2009 → Mar 29, 2010
U.S. Bancorp Piper Jaffray Inc.
Bellingham, WA · IA capacity

Oct 17, 2000 → May 1, 2003
U.S. Bancorp Piper Jaffray Inc.
Minneapolis, MN · BC capacity

Feb 3, 2000 → May 1, 2003
Nylife Securities Inc.
New York, NY · BC capacity

Apr 24, 1998 → Feb 23, 2000
Principal Financial Securities,inc.
Dallas, TX · BC capacity

Jan 11, 1994 → Mar 2, 1998
Painewebber Incorporated
Weehawken, NJ · BC capacity

Jun 19, 1992 → Jan 3, 1994
Offerman & Company
Minneapolis, MN · BC capacity

Jan 4, 1990 → Jun 19, 1992
The Oxford Group, Inc.
BC capacity

May 23, 1989 → Jan 1, 1990

Source & corrections

Where this page comes from

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