Dione Carroll

CRD 7218878 · Wells Fargo Advisors · Pueblo, CO

IA RegisteredBroker

Also appears in the source record as: Dee Carroll; Dione R Carroll; Dione Renee Carroll; Dione Renee Viktoria Carroll

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSeries 6TOSIESeries 66Series 63
Registered states (16): Arizona · California · Colorado · Florida · Illinois · Kansas · Maryland · Michigan · Montana · New Jersey · South Dakota · Texas · Utah · Washington · West Virginia · Wyoming
Years in the industry (source record): 4
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 (8)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Pueblo, CO · IA capacity

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

start not retrieved → present
First Command Advisory Services
Colorado Springs, CO · IA capacity

Oct 20, 2025 → Mar 2, 2026
First Command Brokerage Services, Inc.
Colorado Springs, CO · BC capacity

Oct 20, 2025 → Mar 2, 2026
J.P. Morgan Securities LLC
Colorado Springs, CO · IA capacity

Mar 27, 2024 → Sep 23, 2025
J.P. Morgan Securities LLC
Colorado Springs, CO · BC capacity

Mar 27, 2024 → Sep 23, 2025
T. Rowe Price Advisory Services, Inc.
Colorado Springs, CO · IA capacity

Sep 12, 2022 → Mar 19, 2024
T. Rowe Price Investment Services, Inc.
Colorado Springs, CO · BC capacity

Jul 18, 2022 → Mar 19, 2024

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 7218878 ↗ FINRA BrokerCheck record for CRD 7218878 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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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.