Individual Firm
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RICHARD GLENN HAUSLER
CRD#: 1395493
IA
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WELLS FARGO ADVISORSCRD#: 19616 331 NEWMAN SPRINGS RD
BLDG 2, 3RD FL
RED BANK, NJ 07701
BLDG 2, 3RD FL
RED BANK, NJ 07701
View By:
5/11/2005
Customer Dispute
Settled
State Registrations
B
Arizona 3/30/2022
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Nevada 5/1/2024
B
California 1/14/2021
B
New Jersey 1/14/2021
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Colorado 2/22/2022
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New Jersey 1/15/2021
B
Connecticut 2/3/2021
B
New York 1/14/2021
B
Delaware 7/1/2024
B
North Carolina 7/8/2022
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District of Columbia 2/11/2021
B
Pennsylvania 1/14/2021
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Florida 1/14/2021
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South Carolina 8/24/2023
B
Maryland 6/21/2024
B
Tennessee 6/17/2024
B
Massachusetts 1/14/2021
B
Utah 6/18/2024
B
Michigan 6/13/2022
B
Virginia 1/14/2021
SRO Registrations
B
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 1/15/2021
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Registered with this firm since 1/14/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/30/2010 - 02/11/2021 | MANASQUAN, NJ | |
B | 09/30/2010 - 02/11/2021 | MANASQUAN, NJ | |
IA | 06/01/2009 - 10/22/2010 | MORGANVILLE, NJ | |
B | 06/01/2009 - 10/22/2010 | MORGANVILLE, NJ | |
IA | 04/24/2003 - 06/01/2009 | MORGANVILLE, NJ | |
B | 04/17/2003 - 06/01/2009 | MORGANVILLE, NJ | |
IA | 12/03/1992 - 04/22/2003 | FREEHOLD, NJ | |
B | 03/19/1986 - 04/22/2003 | NEW YORK, NY |
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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.
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.