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Detailed Report
STEVEN ANDREA ANDERSON
CRD#: 1141875
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S LAKE AVE 7TH FL
[SUPPORT CENTER]
PASADENA, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2013 (3 years)2 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - 2022 (8 years)2 FIRMS2022 - Present (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1987 - 1993 (6 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
License(s)

State Registrations

B
Arkansas 10/17/2022
B
Massachusetts 10/17/2022
B
California 10/17/2022
IA
Texas 10/17/2022
IA
California 10/18/2022

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)
225 S LAKE AVE 7TH FL [SUPPORT CENTER], PASADENA, CA 91101
CARPINTERIA, CA
Registered with this firm since 10/17/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S LAKE AVE 7TH FL [SUPPORT CENTER], PASADENA, CA 91101
CARPINTERIA, CA
Registered with this firm since 10/17/2022
Previous Registration(s)
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IA
 11/25/2013 - 09/26/2022 D.A. DAVIDSON & CO. (CRD#:199) SANTA BARBARA, CA
B
 11/25/2013 - 09/26/2022 D.A. DAVIDSON & CO. (CRD#:199) SANTA BARBARA, CA
IA
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) SANTA BARBARA, CA
B
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) SANTA BARBARA, CA
IA
 01/21/2010 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) SANTA BARBARA, CA
B
 01/20/2010 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) SANTA BARBARA, CA
IA
 06/01/2009 - 01/27/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SANTA BARBARA, CA
B
 06/01/2009 - 01/27/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SANTA BARBARA, CA
IA
 07/08/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SANTA BARBARA, CA
B
 07/08/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SANTA BARBARA, CA
B
 03/25/1987 - 07/12/1993 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) 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.