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Detailed Report
ANNE M SHORE
ANNE MARY BERGQUIST, ANNE MARY SHORE
CRD#: 1046557
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 320 BROAD ST 3RD FL
CHARLESTON, SC 29401
Registration History
1985199019952000200520102015202020252 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2018 (9 years)2 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - Present (6 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2006 - 2008 (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1994 - 2005 (10 years)BAMERISTAR CAPITAL MARKETS, INC. (CRD# 17068)1994 - 1994 (<1 year)BINVESTORS CAPITAL CORP. (CRD# 30613)1993 - 1994 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1992 - 1993 (1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1991 - 1992 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1982 - 1991 (9 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2007 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 2/26/2019
B
Nevada 10/26/2021
B
Arizona 2/26/2019
B
New Hampshire 2/26/2019
B
Arkansas 12/1/2023
B
New Jersey 3/8/2019
B
California 4/2/2019
B
New York 2/26/2019
B
Colorado 2/26/2019
B
North Carolina 2/26/2019
B
Connecticut 2/26/2019
B
Ohio 2/26/2019
B
Delaware 2/26/2019
B
Oklahoma 2/26/2019
B
Florida 2/26/2019
B
Pennsylvania 2/26/2019
B
Georgia 2/26/2019
B
South Carolina 2/26/2019
B
Illinois 2/26/2019
IA
South Carolina 2/26/2019
B
Kentucky 2/21/2023
B
Tennessee 2/26/2019
B
Maine 1/13/2021
B
Texas 2/26/2019
B
Maryland 2/26/2019
IA
Texas 2/26/2019
B
Massachusetts 2/26/2019
B
Virginia 2/26/2019
B
Michigan 2/26/2019
B
West Virginia 10/22/2021
B
Missouri 4/16/2021
B
Wisconsin 2/26/2019
B
Montana 10/4/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
320 BROAD ST 3RD FL, CHARLESTON, SC 29401
Registered with this firm since 2/26/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
320 BROAD ST 3RD FL, CHARLESTON, SC 29401
Registered with this firm since 2/26/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/12/2018 - 02/25/2019 MORGAN STANLEY (CRD#:149777) CHARLESTON, SC
B
 03/08/2018 - 02/25/2019 MORGAN STANLEY (CRD#:149777) CHARLESTON, SC
IA
 12/09/2008 - 02/07/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHARLOTTE, NC
B
 12/09/2008 - 02/07/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHARLOTTE, NC
IA
 01/01/2008 - 07/01/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CHARLOTTE, NC
B
 01/01/2008 - 07/01/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CHARLOTTE, NC
B
 04/17/2006 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) CHARLOTTE, NC
IA
 11/06/2007 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) CHARLOTTE, NC
B
 10/19/1994 - 07/29/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 01/21/1994 - 10/25/1994 AMERISTAR CAPITAL MARKETS, INC. (CRD#:17068)
B
 12/08/1993 - 01/25/1994 INVESTORS CAPITAL CORP. (CRD#:30613) LYNNFIELD, MA
B
 12/02/1992 - 12/04/1993 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 07/15/1991 - 09/15/1992 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 05/24/1982 - 06/17/1991 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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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
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.