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Detailed Report
JAMES ALOYSIUS DIEPENBROCK
JIM DIEPENBROCK
CRD#: 1104396
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 400 CAPITOL MALL STE 1700
SACRAMENTO, CA 95814
Registration History
1985199019952000200520102015202020252 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2018 (9 years)2 FIRMS2018 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - 2008 (13 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1983 - 1995 (11 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2008 (10 years)
Disclosure(s)
View By:
5/1/2005
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 8/29/2018
B
Missouri 11/15/2024
B
Arizona 11/2/2018
B
Nevada 8/29/2018
B
Arkansas 2/2/2024
IA
Nevada 2/23/2022
B
California 8/29/2018
B
New York 3/26/2023
IA
California 8/30/2018
B
North Carolina 8/29/2018
B
Colorado 10/29/2018
B
Ohio 8/29/2018
B
District of Columbia 8/29/2018
B
South Carolina 1/10/2024
B
Florida 8/29/2018
B
Tennessee 12/23/2020
B
Georgia 11/28/2022
B
Texas 11/28/2022
B
Hawaii 6/21/2019
IA
Texas 11/29/2022
B
Idaho 7/30/2024
B
Virginia 8/29/2018
B
Maryland 8/29/2018
B
Washington 1/10/2020
B
Minnesota 8/31/2018
B
Wyoming 9/10/2024

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)
400 CAPITOL MALL STE 1700, SACRAMENTO, CA 95814
Sacramento, CA
Registered with this firm since 8/30/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
400 CAPITOL MALL STE 1700, SACRAMENTO, CA 95814
Sacramento, CA
Registered with this firm since 8/29/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 08/30/2018 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
B
 06/01/2009 - 08/30/2018 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
IA
 04/16/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SACRAMENTO, CA
B
 04/17/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SACRAMENTO, CA
IA
 07/08/1997 - 04/28/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SACRAMENTO, CA
B
 01/28/1995 - 04/28/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SACRAMENTO, CA
B
 03/22/1983 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
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.