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TRADEWELL TAX & FINANCIAL

FORT WAYNE, IN · CRD 332473 · IAPD ↗ · 260-490-2084

$320.4MRegulatory AUM
5Advisory reps
9Employees
10Clients
251-500Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

58
April 2026 — TRADEWELL SECURITIES, LLC is now doing business as TRADEWELL TAX & FINANCIAL.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
45
April 2025 — TRADEWELL SECURITIES, LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
73
April 2025 — TRADEWELL SECURITIES, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
76
April 2025 — TRADEWELL SECURITIES, LLC reports 251-500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
95
September 2024 — TRADEWELL SECURITIES, LLC (FORT WAYNE, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.