Individual Firm
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DANIEL HUFFMAN
DAN HUFFMAN, DANIEL MARION HUFFMAN
CRD#: 1020457
IA
B
WELLS FARGO ADVISORSCRD#: 11025 3705 STATE ROAD SUITE 100
[SATELLITE]
ASHTABULA, OH 44004
[SATELLITE]
ASHTABULA, OH 44004
View By:
11/3/2003
Customer Dispute
Settled
State Registrations
B
Alabama 4/7/2025
B
New Hampshire 4/4/2025
B
Arizona 4/3/2025
B
New Jersey 4/3/2025
B
Arkansas 4/3/2025
B
New Mexico 4/3/2025
B
California 4/3/2025
B
New York 4/3/2025
B
Colorado 4/3/2025
B
North Carolina 4/3/2025
B
Connecticut 4/3/2025
B
Ohio 4/3/2025
B
Delaware 4/3/2025
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Ohio 4/4/2025
B
District of Columbia 4/3/2025
B
Oklahoma 4/3/2025
B
Florida 4/3/2025
B
Oregon 4/3/2025
B
Georgia 4/3/2025
B
Pennsylvania 4/3/2025
B
Illinois 4/3/2025
B
Rhode Island 4/3/2025
B
Indiana 4/9/2025
B
South Carolina 4/3/2025
B
Kansas 4/3/2025
B
Tennessee 4/3/2025
B
Kentucky 4/3/2025
B
Texas 4/3/2025
B
Maryland 4/3/2025
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Texas 4/3/2025
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Massachusetts 4/3/2025
B
Utah 4/3/2025
B
Michigan 4/3/2025
B
Virginia 4/3/2025
B
Minnesota 4/7/2025
B
Washington 4/3/2025
B
Mississippi 4/3/2025
B
West Virginia 4/3/2025
B
Montana 4/3/2025
B
Wyoming 4/3/2025
B
Nevada 4/3/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 4/3/2025
B
Registered with this firm since 4/3/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2008 - 04/03/2025 | ASHTABULA, OH | |
B | 01/01/2008 - 04/03/2025 | ASHTABULA, OH | |
B | 03/28/1985 - 01/03/2008 | ASHTABULA, OH | |
IA | 05/12/1999 - 01/01/2008 | ASHTABULA, OH | |
B | 12/11/1981 - 03/22/1985 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.