Damon B. Dozier

CRD 2968891 · Wells Fargo Advisors · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Damon Brent Dozier

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (2): California · New York
Years in the industry (source record): 21
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 (18)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Lpl Financial LLC
Los Angeles, CA · IA capacity

Feb 9, 2023 → Oct 21, 2024
Lpl Financial LLC
Los Angeles, CA · BC capacity

Feb 8, 2023 → Oct 21, 2024
J.P. Morgan Securities LLC
Los Angeles, CA · IA capacity

Sep 20, 2021 → Jan 21, 2023
J.P. Morgan Securities LLC
Los Angeles, CA · BC capacity

Sep 20, 2021 → Jan 21, 2023
Fidelity Personal And Workplace Advisors
Salt Lake City, UT · IA capacity

Jun 21, 2021 → Sep 13, 2021
Fidelity Brokerage Services LLC
Salt Lake City, UT · BC capacity

Jun 14, 2021 → Sep 9, 2021
Chase Investment Services Corp.
Canoga Park, CA · BC capacity

Mar 16, 2011 → Oct 1, 2012
Mml Investors Services, LLC
Beverly Hills, CA · BC capacity

Jun 4, 2010 → Mar 10, 2011
Ameriprise Financial Services, Inc.
Los Angeles, CA · IA capacity

Apr 8, 2008 → Jun 23, 2008
Ameriprise Financial Services, Inc.
Los Angeles, CA · BC capacity

Apr 8, 2008 → Jun 23, 2008
Ids Life Insurance Company
Minneapolis, MN · BC capacity

May 11, 2005 → Jul 3, 2006
Chicago Investment Group, LLC
Chicago, IL · BC capacity

Jan 4, 2003 → Mar 10, 2005
Solomon, David, Herman, Alexis & Co., Inc.
Los Angeles, CA · BC capacity

Apr 11, 2002 → Jul 18, 2002
M.L. Stern & Co., LLC.
Beverly Hills, CA · BC capacity

Aug 24, 2001 → Oct 26, 2001
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Jun 4, 2001 → Aug 9, 2001
Interfirst Capital Corporation
Los Angeles, CA · BC capacity

Apr 20, 2001 → Jun 7, 2001

Source & corrections

Where this page comes from

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