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Detailed Report
ROBERT PAUL LIPHARDT
CRD#: 1101328
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3020 OLD RANCH PKWY
STES 190, 150 & 140
SEAL BEACH, CA 90740
Registration History
1985199019952000200520102015202020252 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1990 - 2008 (17 years)BSUTRO & CO. INCORPORATED (CRD# 801)1989 - 1990 (1 year)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1989 (<1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1986 - 1988 (1 year)BBEAR, STEARNS & CO. INC. (CRD# 79)1984 - 1986 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1983 - 1984 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2008 (10 years)
License(s)

State Registrations

B
Alaska 8/10/2009
B
Kansas 3/30/2012
B
Arizona 1/1/2008
B
Minnesota 1/28/2009
B
California 1/1/2008
B
Montana 4/21/2021
IA
California 1/1/2008
B
New Hampshire 9/9/2014
B
Colorado 1/28/2009
B
Pennsylvania 1/1/2008
B
Georgia 1/28/2009
B
Washington 3/23/2023
B
Idaho 12/20/2022
B
Wisconsin 1/1/2008
B
Illinois 1/1/2008

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)
3020 OLD RANCH PKWY STES 190, 150 & 140, SEAL BEACH, CA 90740
Irvine, CA
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3020 OLD RANCH PKWY STES 190, 150 & 140, SEAL BEACH, CA 90740
Irvine, CA
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 10/22/1990 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LONG BEACH, CA
IA
 07/08/1997 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LONG BEACH, CA
B
 03/08/1989 - 10/25/1990 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
 04/11/1988 - 02/24/1989 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
B
 05/22/1986 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 12/17/1984 - 05/12/1986 BEAR, STEARNS & CO. INC. (CRD#:79)
B
 03/23/1983 - 12/14/1984 DEAN WITTER REYNOLDS INC. (CRD#:7556)
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.