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Stuart Wells Fired from Raymond James Financial Services Over Self-Dealing Allegations

Stuart Wells (CRD #: 5542712), a broker registered with LPL Financial, was fired from his previous firm following alleged misconduct, according to his BrokerCheck record, accessed on July 12, 2023. If you want to know more about his alleged conduct as a broker, read on.

Termination from Raymond James Financial Services

On May 2, 2023, Stuart Wells was fired from Raymond James Financial Services in the capacity of a bank trust officer following allegations of self-dealing.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Stuart Wells has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Stuart Wells is a registered broker in eight states and a registered investment adviser in Kansas.

He has also worked for the following firms:

  • Raymond James Financial Services Advisors (CRD#:149018)
  • Raymond James Financial Services (CRD#:6694)
  • Advice and Planning Services (CRD#:20472)
  • TIAA-CREF Individual & Institutional Services (CRD#:20472)
  • USAA Financial Planning Services (CRD#:106352)
  • USAA Financial Advisors (CRD#:129035)
  • Vanguard Marketing Corporation (CRD#:7452)

Kurta Law Can Help

If you worked with Stuart Wells and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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