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Detailed Report
STEVEN RAY TOWNSEND
STEVEN RAY WEGGELAND
CRD#: 1190070
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
1985199019952000200520102015202020252 FIRMS2006 - Present (18 years)BMORGAN STANLEY DW INC. (CRD# 7556)1984 - 2006 (22 years)BCRICO SECURITIES CORP (CRD# 11286)1983 - 1986 (3 years)IAMORGAN STANLEY (CRD# 7556)1995 - 2006 (10 years)
License(s)

State Registrations

B
California 5/30/2006
B
Utah 1/2/2020
IA
California 5/30/2006
IA
Utah 6/19/2024
B
Hawaii 11/13/2018
B
Washington 11/21/2024

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)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 5/30/2006
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 5/30/2006
Previous Registration(s)
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IA
 07/26/1995 - 06/05/2006 MORGAN STANLEY (CRD#:7556) PASADENA, CA
B
 06/21/1984 - 06/05/2006 MORGAN STANLEY DW INC. (CRD#:7556) PASADENA, CA
B
 09/28/1983 - 10/10/1986 CRICO SECURITIES CORP (CRD#:11286)
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.