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Detailed Report
JOHN KATSIGIORGIS
CRD#: 1423851
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3399 PGA BLVD STE 400
PALM BEACH GARDENS, FL 33410
Registration History
199019952000200520102015202020252 FIRMS2016 - Present (9 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - 2015 (11 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2004 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1991 - 2003 (12 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2015 (9 years)
License(s)

State Registrations

B
Arkansas 5/7/2020
IA
New Jersey 2/3/2016
B
Florida 4/4/2023
B
New York 2/3/2016
IA
Florida 4/5/2023
IA
New York 7/23/2021
B
Massachusetts 5/7/2020
B
Pennsylvania 11/4/2020
B
New Jersey 2/3/2016
B
Utah 5/7/2020

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)
3399 PGA BLVD STE 400, PALM BEACH GARDENS, FL 33410
3399 PGA BLVD 4TH FL [SUPPORT CENTER], PALM BEACH GARDENS, FL 33410
Registered with this firm since 2/3/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3399 PGA BLVD STE 400, PALM BEACH GARDENS, FL 33410
3399 PGA BLVD 4TH FL [SUPPORT CENTER], PALM BEACH GARDENS, FL 33410
Registered with this firm since 2/3/2016
Previous Registration(s)
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IA
 09/01/2006 - 12/28/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 06/04/2004 - 12/28/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 07/01/2003 - 06/15/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 01/01/1991 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, 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.