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Detailed Report
Registration History
1985199019952000200520102015202020252 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1990 - 2008 (17 years)BLEHMAN BROTHERS INC. (CRD# 7506)1984 - 1990 (6 years)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)1982 - 1984 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2005 - 2008 (2 years)
Disclosure(s)
View By:
8/3/1998
Customer Dispute
Settled
9/23/1994
Customer Dispute
Settled
9/29/1992
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/1/2008
B
Maryland 9/27/2011
B
California 1/20/2015
B
New Jersey 1/1/2008
B
Colorado 11/16/2023
IA
New Jersey 1/1/2008
B
Connecticut 1/1/2008
B
New York 1/1/2008
B
Florida 1/1/2008
B
North Carolina 5/27/2020
B
Georgia 5/10/2010
B
Ohio 6/26/2024

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)
550 HILLS DR, BEDMINSTER, NJ 07921
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
550 HILLS DR, BEDMINSTER, NJ 07921
Registered with this firm since 1/1/2008
Previous Registration(s)
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B
 12/12/1990 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) EAST BRUNSWICK, NJ
IA
 07/27/2005 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) EAST BRUNSWICK, NJ
B
 09/04/1984 - 12/21/1990 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/02/1982 - 08/24/1984 DAVID LERNER ASSOCIATES, INC. (CRD#:5397)
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.