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DANIEL WARREN STAPLES
CRD#: 1122955
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 ONE ERDMAN PL STE 200
MADISON, WI 53717
Registration History
1985199019952000200520102015202020252 FIRMS1996 - 2013 (17 years)2 FIRMS2013 - Present (11 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1996 (2 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1983 - 1988 (4 years)
Disclosure(s)
View By:
12/4/2009
Customer Dispute
Denied
2/26/1991
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 1/7/2019

B
Massachusetts 4/3/2013

B
Arizona 5/1/2014

B
Minnesota 11/20/2015

B
Arkansas 7/20/2017

B
Montana 1/18/2019

B
California 4/3/2013

B
New York 11/20/2015

B
Colorado 11/21/2016

B
South Carolina 4/3/2013

B
Florida 4/3/2013

B
Utah 6/16/2017

B
Illinois 9/13/2017

B
Washington 4/3/2013

B
Indiana 4/18/2024

B
Wisconsin 3/25/2013

B
Iowa 4/3/2013

IA
Wisconsin 3/25/2013

IA
Iowa 2/8/2024

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)
ONE ERDMAN PL STE 200, MADISON, WI 53717
Monona, IA
Registered with this firm since 3/25/2013

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE ERDMAN PL STE 200, MADISON, WI 53717
Monona, IA
Registered with this firm since 3/25/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/25/1996 - 03/26/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MADISON, WI
B
01/23/1996 - 03/26/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MADISON, WI
B
07/31/1993 - 01/04/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
05/14/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
10/20/1983 - 05/14/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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B
Broker
IA
Investment Adviser
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.