Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
1985199019952000200520102015202020252 FIRMS2024 - Present (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)1999 - 2024 (25 years)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1991 - 1999 (8 years)BBUTCHER & SINGER INC. (CRD# 6517)1985 - 1991 (5 years)IAWELLS FARGO ADVISORS (CRD# 19616)1991 - 2024 (33 years)
Disclosure(s)
View By:
6/30/2010
Customer Dispute
Denied
5/2/2003
Customer Dispute
Denied
9/27/1997
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 12/9/2024
B
New York 12/9/2024
B
Arizona 12/9/2024
B
North Carolina 12/9/2024
B
California 12/9/2024
B
Ohio 12/9/2024
B
Colorado 12/9/2024
B
Oregon 12/9/2024
B
Florida 2/19/2025
B
Pennsylvania 12/9/2024
IA
Florida 2/19/2025
IA
Pennsylvania 12/9/2024
B
Georgia 12/9/2024
B
Rhode Island 12/17/2024
B
Indiana 12/10/2024
B
South Carolina 12/9/2024
B
Iowa 12/9/2024
B
Texas 12/9/2024
B
Kansas 12/9/2024
IA
Texas 12/9/2024
B
Maryland 12/9/2024
B
Utah 12/9/2024
B
Massachusetts 12/9/2024
B
Virginia 12/9/2024
B
Michigan 12/9/2024
B
Washington 12/9/2024
B
New Jersey 12/9/2024

SRO Registrations

B
 FINRA

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
&PARTNERS (CRD#:3767)
Longboat Key, FL
432 Pennsylvania Ave. W. , Warren , PA 16365
Registered with this firm since 12/9/2024
B
&PARTNERS (CRD#:3767)
Longboat Key, FL
432 Pennsylvania Ave. W. , Warren , PA 16365
Registered with this firm since 12/9/2024
Previous Registration(s)
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IA
 01/01/1991 - 12/16/2024 WELLS FARGO ADVISORS (CRD#:19616) WARREN, PA
B
 10/01/1999 - 12/16/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WARREN, PA
B
 01/01/1991 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
B
 10/01/1985 - 01/01/1991 BUTCHER & SINGER INC. (CRD#:6517)
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.