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Detailed Report
CHARLES GREGORY GUERRA
CRD#: 1416232
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10999 W INTERSTATE 10
5TH FL/STE 5000
SAN ANTONIO, TX 78230
Registration History
199019952000200520102015202020252 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2000 - 2008 (7 years)BCIGNA SECURITIES, INC. (CRD# 145)1986 - 1988 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2008 (5 years)
License(s)

State Registrations

B
California 10/11/2016
B
Oregon 3/20/2018
B
Colorado 11/11/2015
B
Texas 1/1/2008
B
Florida 6/9/2021
IA
Texas 1/1/2008
B
Kentucky 11/24/2014
B
Washington 1/4/2013
B
North Carolina 7/26/2022

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)
10999 W INTERSTATE 10 5TH FL/STE 5000, SAN ANTONIO, TX 78230
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10999 W INTERSTATE 10 5TH FL/STE 5000, SAN ANTONIO, TX 78230
Registered with this firm since 1/1/2008
Previous Registration(s)
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B
 07/13/2000 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN ANTONIO, TX
IA
 06/13/2002 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN ANTONIO, TX
B
 10/16/1986 - 08/23/1988 CIGNA SECURITIES, INC. (CRD#:145)
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.