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Registration History
198519901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 11025)2006 - Present (19 years)BWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2005 - Present (19 years)BEDWARD JONES (CRD# 250)1992 - 2005 (13 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1989 - 1992 (3 years)BVAN KAMPEN MERRITT INC. (CRD# 6939)1985 - 1989 (3 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1984 - 1984 (<1 year)
Disclosure(s)
View By:
9/5/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 6/20/2005

B
Missouri 5/25/2005

B
Arizona 5/25/2005

B
Montana 1/4/2007

B
California 5/25/2005

B
New Hampshire 9/29/2005

B
Colorado 5/25/2005

B
New Jersey 5/25/2005

B
Connecticut 5/25/2005

IA
New Jersey 1/5/2006

B
Delaware 5/31/2005

B
New Mexico 1/16/2024

B
District of Columbia 4/4/2023

B
New York 5/25/2005

B
Florida 5/25/2005

B
North Carolina 5/25/2005

B
Georgia 6/10/2024

B
Ohio 10/14/2020

B
Hawaii 6/2/2005

B
Pennsylvania 5/25/2005

B
Illinois 1/4/2007

B
South Carolina 5/25/2005

B
Indiana 5/24/2024

B
Texas 12/13/2019

B
Kansas 5/2/2023

IA
Texas 12/13/2019

B
Maine 8/7/2020

B
Utah 1/30/2019

B
Maryland 5/25/2005

B
Virginia 5/25/2005

B
Massachusetts 9/15/2011

B
Washington 9/10/2015

B
Michigan 1/4/2007

B
Wisconsin 5/4/2012

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
800 ASBURY AVENUE, OCEAN CITY, NJ 08226
800 ASBURY AVE, OCEAN CITY, NJ 08226
Registered with this firm since 1/5/2006

B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
800 ASBURY AVENUE, OCEAN CITY, NJ 08226
800 ASBURY AVE, OCEAN CITY, NJ 08226
Registered with this firm since 5/25/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
B
03/09/1992 - 05/27/2005 EDWARD JONES (CRD#:250) ST. LOUIS, MO
B
02/21/1989 - 03/13/1992 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
04/24/1985 - 02/07/1989 VAN KAMPEN MERRITT INC. (CRD#:6939)
B
05/09/1984 - 12/05/1984 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
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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.