Caroline Acosta

CRD 4049433 · Wells Fargo Advisors · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Caroline Ann Acosta; Caroline Ann Cumiskey

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 52TOSIESeries 7Series 6Series 53Series 10Series 9Series 66
Registered states (1): North Carolina
Years in the industry (source record): 23
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: 11025
SEC number: 801-57434
Assets under management: $252.3B as of Jun 3, 2026
Website: stories.wf.com ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (10)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
St. Louis, MO · BC capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
St. Louis, MO · IA capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Chase Investment Services Corp.
New York City, NY · IA capacity

May 2, 2005 → Oct 25, 2005
Chase Investment Services Corp.
Chicago, IL · BC capacity

May 2, 2005 → Oct 25, 2005
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Jan 29, 2003 → Sep 2, 2003
First Investors Corporation
Edison, NJ · BC capacity

Jan 17, 2001 → Aug 9, 2001

Source & corrections

Where this page comes from

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