Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ANTHONY PHILIP FERRARO
CRD#: 1277810
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1010 FRANKLIN AVE STE 100
GARDEN CITY, NY 11530
Registration History
1985199019952000200520102015202020252 FIRMS2019 - Present (5 years)BMORGAN STANLEY (CRD# 149777)2009 - 2019 (10 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2009 (<1 year)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2008 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)1995 - 2007 (11 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1995 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1993 (4 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1988 - 1989 (<1 year)BEQUITABLE SECURITIES OF NEW YO... (CRD# 14583)1986 - 1988 (2 years)BOVEST FINANCIAL SERVICES, INC. (CRD# 14770)1984 - 1986 (1 year)
License(s)

State Registrations

B
Alabama 11/29/2024
B
Nevada 7/30/2019
B
Arizona 7/30/2019
B
New Jersey 5/31/2019
B
California 5/31/2019
IA
New Jersey 8/28/2019
B
Connecticut 5/31/2019
B
New Mexico 7/30/2019
B
Delaware 10/18/2023
B
New York 5/31/2019
B
District of Columbia 7/30/2019
IA
New York 7/27/2021
B
Florida 5/31/2019
B
North Carolina 7/30/2019
B
Georgia 7/30/2019
B
Oregon 7/30/2019
B
Illinois 8/22/2019
B
Pennsylvania 5/31/2019
B
Kentucky 7/30/2019
B
South Carolina 7/30/2019
B
Maryland 5/31/2019
B
Texas 5/31/2019
B
Massachusetts 7/30/2019
IA
Texas 8/27/2019
B
Michigan 12/14/2020
B
Vermont 7/30/2019
B
Minnesota 10/11/2023
B
Virginia 5/31/2019
B
Missouri 5/24/2022
B
Washington 1/6/2024

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)
1010 FRANKLIN AVE STE 100, GARDEN CITY, NY 11530
Registered with this firm since 8/27/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1010 FRANKLIN AVE STE 100, GARDEN CITY, NY 11530
Registered with this firm since 5/31/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/01/2009 - 06/04/2019 MORGAN STANLEY (CRD#:149777) GARDEN CITY, NY
B
 08/29/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GARDEN CITY, NY
B
 04/02/2007 - 09/09/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GARDEN CITY, NY
B
 05/12/1995 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) GARDEN CITY, NY
B
 07/31/1993 - 05/22/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 04/13/1989 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 08/25/1988 - 04/06/1989 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
B
 02/20/1986 - 02/19/1988 EQUITABLE SECURITIES OF NEW YORK,INC. (CRD#:14583)
FINRA expelled the firm on 05/04/1991
B
 09/25/1984 - 04/22/1986 OVEST FINANCIAL SERVICES, INC. (CRD#:14770)
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.