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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS1991 - 1991 (<1 year)2 FIRMS2000 - Present (24 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1998 - 2000 (2 years)BSIGNET FINANCIAL SERVICES,INC. (CRD# 17511)1997 - 1998 (<1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1992 - 1997 (5 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1988 - 1991 (3 years)
Disclosure(s)
View By:
10/2/2009
Customer Dispute
Settled
9/29/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 7/15/2019
B
New Jersey 10/1/2000
B
Arizona 8/28/2024
B
New Mexico 12/19/2019
B
Arkansas 8/27/2020
B
New York 10/1/2000
B
California 10/1/2000
B
North Carolina 10/1/2000
B
Colorado 1/16/2024
B
Ohio 10/1/2000
B
Connecticut 8/28/2024
B
Oregon 8/28/2024
B
Delaware 9/9/2024
B
Pennsylvania 8/28/2024
B
District of Columbia 10/1/2000
B
Rhode Island 8/28/2024
B
Florida 10/1/2000
B
South Carolina 11/6/2018
IA
Florida 3/9/2021
B
Tennessee 2/24/2023
B
Georgia 8/28/2024
B
Texas 1/4/2023
B
Illinois 8/10/2023
IA
Texas 1/5/2023
B
Maine 8/28/2024
B
Utah 8/28/2024
B
Maryland 10/1/2000
B
Virginia 10/1/2000
B
Massachusetts 8/27/2024
IA
Virginia 10/1/2000
B
Michigan 5/18/2023
B
Washington 8/28/2024
B
Minnesota 6/5/2023
B
West Virginia 5/19/2022
B
Missouri 11/7/2018
B
Wisconsin 8/28/2024
B
Nevada 8/28/2024
B
Wyoming 8/28/2024

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
NAPLES, FL
5801 PELICAN BAY BLVD STE 200 [EI-RBO], NAPLES, FL 34108
Registered with this firm since 10/1/2000
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
NAPLES, FL
5801 PELICAN BAY BLVD STE 200 [EI-RBO], NAPLES, FL 34108
Registered with this firm since 10/1/2000
Previous Registration(s)
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B
 01/06/1998 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 10/16/1997 - 01/08/1998 SIGNET FINANCIAL SERVICES,INC. (CRD#:17511) CHARLOTTE, NC
B
 06/11/1992 - 10/10/1997 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 07/18/1991 - 08/26/1991 EDEN FINANCIAL FUNDS GROUP, INC. (CRD#:13066)
B
 04/23/1991 - 08/05/1991 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
 05/25/1988 - 05/01/1991 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.