Individual Firm
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GREGORY LAWRENCE CLOSMORE
CRD#: 1033984
IA
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WELLS FARGO ADVISORSCRD#: 19616 90 S 7TH ST 10TH & 11TH FLS
MINNEAPOLIS, MN 55402
MINNEAPOLIS, MN 55402
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11/16/1993
Employment Separation After Allegations
11/10/1993
Customer Dispute
Settled
State Registrations
B
Alabama 11/17/2023
B
New Mexico 11/30/2023
B
Arizona 12/4/2020
B
New York 8/30/2019
B
California 5/11/1998
B
North Carolina 11/20/2023
B
Colorado 3/31/2014
B
Ohio 6/7/2023
B
District of Columbia 12/5/2023
B
Pennsylvania 11/17/2023
B
Florida 5/11/1998
B
South Carolina 8/22/2024
B
Georgia 11/20/2023
B
South Dakota 8/22/2024
B
Illinois 5/5/2023
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Texas 8/30/2019
B
Maryland 11/20/2023
B
Texas 9/4/2019
B
Minnesota 5/11/1998
B
Vermont 11/17/2023
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Minnesota 11/4/2013
B
Virginia 1/6/2021
B
Missouri 11/29/2012
B
Washington 6/7/2023
B
Nebraska 8/23/2024
B
Wisconsin 5/11/1998
B
New Jersey 11/17/2023
SRO Registrations
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B
B
B
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Registered with this firm since 5/2/2012
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Registered with this firm since 5/11/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/01/1994 - 05/11/1998 | DALLAS, TX | |
B | 12/20/1993 - 09/01/1994 | ||
B | 02/13/1989 - 12/11/1993 | WEEHAWKEN, NJ | |
B | 03/02/1982 - 02/23/1989 | PURCHASE, NY |
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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.
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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.