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
PAOLO CERRI
PAOLO ANGELO CERRI, Paolo Cerri
CRD#: 1311202
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 194 NASSAU ST
PRINCETON, NJ 08542
Registration History
198519901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2022 - Present (3 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - Present (3 years)BSANTANDER SECURITIES LLC (CRD# 41791)2018 - 2021 (3 years)BPFS INVESTMENTS INC. (CRD# 10111)2017 - 2017 (<1 year)BPFS INVESTMENTS INC. (CRD# 10111)2016 - 2016 (<1 year)BLIQUID CAPITAL SECURITIES, LLC (CRD# 148758)2009 - 2010 (<1 year)BUBS SECURITIES LLC (CRD# 7654)2000 - 2006 (5 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1995 - 2000 (5 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1993 - 1995 (1 year)BCS FIRST BOSTON CORPORATION (CRD# 816)1990 - 1993 (3 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1985 - 1990 (4 years)
License(s)

State Registrations

B
California 4/3/2025
B
New Jersey 1/10/2022
B
Colorado 3/23/2023
IA
New Jersey 1/13/2022
B
Connecticut 3/23/2023
B
New York 1/20/2022
B
Delaware 3/23/2023
B
Pennsylvania 3/23/2023
B
Florida 3/23/2023
B
Wisconsin 3/17/2025

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)
194 NASSAU ST, PRINCETON, NJ 08542
Registered with this firm since 1/13/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
194 NASSAU ST, PRINCETON, NJ 08542
Registered with this firm since 12/22/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/28/2018 - 11/22/2021 SANTANDER SECURITIES LLC (CRD#:41791) Princeton Junction, NJ
B
 01/20/2017 - 11/07/2017 PFS INVESTMENTS INC. (CRD#:10111) TOTOWA, NJ
B
 03/29/2016 - 12/23/2016 PFS INVESTMENTS INC. (CRD#:10111) TOTOWA, NJ
B
 09/15/2009 - 08/11/2010 LIQUID CAPITAL SECURITIES, LLC (CRD#:148758) EVANSTON, IL
B
 12/04/2000 - 04/04/2006 UBS SECURITIES LLC (CRD#:7654) NEW YORK, NY
B
 03/09/1995 - 12/04/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 02/23/1993 - 01/16/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 02/22/1990 - 04/01/1993 CS FIRST BOSTON CORPORATION (CRD#:816) NEW YORK, NY
B
 10/31/1985 - 02/06/1990 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
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.