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Detailed Report
STEVEN RAYMOND SHATTO
CRD#: 1063112
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 30 S WACKER DR STE 4000
CHICAGO, IL 60606
Registration History
1985199019952000200520102015202020252 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1982 - 2008 (26 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2008 (10 years)
Disclosure(s)
View By:
12/26/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/1/2019
B
Indiana 11/1/2019
B
Colorado 12/10/2024
B
Michigan 11/1/2019
B
Florida 11/1/2019
B
Missouri 1/28/2025
B
Illinois 11/1/2019
B
Utah 11/1/2019
IA
Illinois 11/1/2019
B
Wisconsin 11/1/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, 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)
30 S WACKER DR STE 4000, CHICAGO, IL 60606
Chicago, IL
Registered with this firm since 11/1/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
30 S WACKER DR STE 4000, CHICAGO, IL 60606
Chicago, IL
Registered with this firm since 11/1/2019
Previous Registration(s)
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IA
 06/01/2009 - 11/05/2019 MORGAN STANLEY (CRD#:149777) Chicago, IL
B
 06/01/2009 - 11/05/2019 MORGAN STANLEY (CRD#:149777) Chicago, IL
IA
 11/26/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHICAGO, IL
B
 11/26/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHICAGO, IL
IA
 04/12/1998 - 12/01/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
B
 08/26/1982 - 12/01/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
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.