James Dietrich Waltman

CRD 4042904 · Wells Fargo Advisors · Princeton, NJ

IA RegisteredBroker

Also appears in the source record as: James D Waltman

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 24Series 63Series 65
Registered states (24): California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kentucky · Maryland · Massachusetts · Missouri · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Texas · Virginia · Washington
Years in the industry (source record): 26
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
Princeton, NJ · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Princeton, NJ · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Princeton, NJ · IA capacity

Jul 2, 2009 → Mar 19, 2019
Ubs Financial Services Inc.
Princeton, NJ · BC capacity

Apr 7, 2006 → Mar 19, 2019
Axa Advisors, LLC
New York, NY · IA capacity

Feb 19, 2004 → Apr 13, 2006
Axa Advisors, LLC
New York, NY · BC capacity

Aug 7, 2003 → Apr 13, 2006
M Holdings Securities, Inc.
Portland, OR · BC capacity

Jun 6, 2002 → Jul 31, 2003
Bridgman-Bourger Securities Corp.
Hinesburg, VT · BC capacity

Apr 27, 2000 → Apr 4, 2002
Donaldson, Lufkin & Jenrette Securities Corporation
Jersey City, NJ · BC capacity

Feb 16, 2000 → Mar 22, 2000

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4042904 ↗ FINRA BrokerCheck record for CRD 4042904 ↗ 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.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.