Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MATTHEW VINCENT SIEMERS
MATTHEW V SIEMERS
CRD#: 1019047
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 97 N KINGSHIGHWAY
THE CROSSROADS #1
CAPE GIRARDEAU, MO 63701
Registration History
1985199019952000200520102015202020252 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1988 - 2008 (19 years)BEDWARD D. JONES & CO., L.P. (CRD# 250)1981 - 1988 (6 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2006 - 2008 (1 year)
Disclosure(s)
View By:
7/15/1987
Customer Dispute
Settled
License(s)

State Registrations

B
California 1/1/2008
B
Mississippi 1/1/2008
B
District of Columbia 11/17/2022
B
Missouri 1/1/2008
B
Florida 9/28/2015
IA
Missouri 10/29/2013
B
Illinois 1/1/2008
B
Nevada 1/1/2008
IA
Indiana 1/1/2008
B
South Carolina 1/1/2008
B
Kansas 10/16/2013
B
Tennessee 11/26/2018
B
Kentucky 8/23/2019
B
Texas 1/1/2008

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
97 N KINGSHIGHWAY THE CROSSROADS #1, CAPE GIRARDEAU, MO 63701
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
97 N KINGSHIGHWAY THE CROSSROADS #1, CAPE GIRARDEAU, MO 63701
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/05/1988 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) CAPE GIRARDEAU, MO
IA
 10/25/2006 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) CAPE GIRARDEAU, MO
B
 12/10/1981 - 05/05/1988 EDWARD D. JONES & CO., L.P. (CRD#:250)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.