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JEFFREY THOMAS BROCKWAY
CRD#: 1364803
IA
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WELLS FARGO ADVISORSCRD#: 19616 7900 MOORSBRIDGE RD
PORTAGE, MI 49024
PORTAGE, MI 49024
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Disclosures
39
Years of Experience
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State Registrations
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Alabama 10/15/2008
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New Mexico 2/19/2025
B
Arizona 10/15/2008
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New York 3/11/2010
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California 1/1/2008
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North Carolina 10/16/2008
B
Colorado 4/23/2024
B
Ohio 1/1/2008
B
Florida 1/1/2008
B
Oklahoma 3/25/2015
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Florida 11/30/2023
B
Oregon 5/1/2024
B
Illinois 6/10/2015
B
Pennsylvania 1/14/2014
B
Indiana 1/14/2014
B
South Carolina 5/1/2024
B
Iowa 3/6/2025
B
Tennessee 9/2/2020
B
Kentucky 6/22/2022
B
Texas 8/14/2018
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Massachusetts 4/15/2020
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Texas 8/14/2018
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Michigan 1/1/2008
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Utah 10/16/2020
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Michigan 4/1/2011
B
Washington 10/15/2008
B
Minnesota 5/9/2016
B
Wisconsin 3/11/2010
B
Missouri 11/25/2014
SRO Registrations
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Registered with this firm since 4/22/2010
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Registered with this firm since 1/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/17/2007 - 01/03/2008 | KALAMAZOO, MI | |
B | 05/29/1997 - 01/25/2007 | PLAINWELL, MI | |
B | 10/04/1994 - 05/22/1997 | MILWAUKEE, WI | |
B | 03/12/1987 - 10/11/1994 | CHICAGO, IL | |
B | 06/12/1985 - 02/03/1987 |
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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.
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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.