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STEPHEN ERNEST GALES
STEPHAN ERNEST GALES
CRD#: 1251574
IA
B
WELLS FARGO ADVISORSCRD#: 19616 10 N WASHINGTON NW CENTER STE 201
MASON CITY, IA 50401
MASON CITY, IA 50401
0
Disclosures
41
Years of Experience
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State Registrations
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Alabama 6/5/2024
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Minnesota 1/1/2008
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Arizona 9/29/2010
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Missouri 10/11/2011
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California 1/1/2008
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Nebraska 1/1/2008
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Colorado 5/20/2015
B
New Hampshire 1/1/2008
B
Connecticut 12/2/2021
B
New Mexico 4/13/2011
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District of Columbia 1/1/2008
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North Carolina 2/28/2022
B
Florida 10/25/2010
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Oklahoma 8/23/2021
B
Illinois 1/1/2008
B
Pennsylvania 1/1/2008
B
Indiana 7/9/2020
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Tennessee 7/12/2012
B
Iowa 1/1/2008
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Texas 1/1/2008
IA
Iowa 1/1/2008
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Virginia 6/14/2021
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Kansas 1/1/2008
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Washington 6/5/2024
B
Maryland 10/4/2022
B
Wisconsin 12/9/2021
B
Michigan 1/4/2021
SRO Registrations
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IA
Registered with this firm since 1/1/2008
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Registered with this firm since 1/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/26/1989 - 01/03/2008 | MASON CITY, IA | |
IA | 12/30/1999 - 01/01/2008 | MASON CITY, IA | |
B | 03/26/1985 - 07/15/1989 | MINNEAPOLIS, MN | |
B | 04/18/1984 - 03/26/1985 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.