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Detailed Report
JOSEPH PETER BACHOP
JOE BACHOP, JOSEPH BACHOP
CRD#: 1172303
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 27440 HAWTHORNE BLVD
ROLLING HILLS ESTATES, CA 90274
Registration History
1985199019952000200520102015202020252 FIRMS2010 - 2010 (<1 year)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - Present (14 years)BCITY NATIONAL SECURITIES, INC. (CRD# 103705)2006 - 2010 (3 years)BJEFFERIES & COMPANY, INC. (CRD# 2347)2003 - 2006 (3 years)BBONDS DIRECT SECURITIES LLC (CRD# 112297)2003 - 2004 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - 2003 (12 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1986 - 1991 (4 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1984 - 1986 (1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2001 - 2003 (2 years)
Disclosure(s)
View By:
7/10/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/3/2011
B
New Jersey 11/29/2019
B
California 1/3/2011
B
New York 9/9/2021
IA
California 1/3/2011
B
Oklahoma 11/7/2014
B
Colorado 7/31/2017
B
Oregon 1/3/2011
B
District of Columbia 1/30/2019
B
Texas 1/3/2011
B
Georgia 11/17/2020
IA
Texas 10/27/2016
B
Idaho 3/24/2021
B
Utah 8/13/2024
B
Mississippi 5/30/2023
B
Virginia 4/23/2015
B
Montana 9/24/2020
B
Washington 12/6/2012
B
Nevada 1/3/2011

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)
27440 HAWTHORNE BLVD, ROLLING HILLS ESTATES, CA 90274
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
27440 HAWTHORNE BLVD, ROLLING HILLS ESTATES, CA 90274
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LONG BEACH, CA
B
 11/17/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LONG BEACH, CA
IA
 07/30/2010 - 11/19/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) LOS ANGELES, CA
B
 07/29/2010 - 11/19/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) LOS ANGELES, CA
B
 11/30/2006 - 07/29/2010 CITY NATIONAL SECURITIES, INC. (CRD#:103705) BEVERLY HILLS, CA
B
 10/16/2003 - 10/02/2006 JEFFERIES & COMPANY, INC. (CRD#:2347) LOS ANGELES, CA
B
 10/17/2003 - 11/01/2004 BONDS DIRECT SECURITIES LLC (CRD#:112297) NEW YORK, NY
IA
 05/24/2001 - 10/22/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) NEW YORK, NY
B
 04/15/1991 - 10/22/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 07/21/1986 - 04/10/1991 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 12/18/1984 - 09/22/1986 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471)
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.