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Registration History
199019952000200520102015202020252 FIRMS1993 - 2005 (12 years)2 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2017 (7 years)2 FIRMS2017 - Present (8 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1986 - 1988 (2 years)
Disclosure(s)
View By:
11/14/2003
Customer Dispute
Settled
1/30/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 8/1/2024

B
Colorado 2/8/2022

B
Arizona 1/6/2017

B
Mississippi 1/6/2017

IA
Arizona 1/6/2017

B
Oklahoma 3/25/2021

B
California 1/6/2017

B
Oregon 1/6/2017

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)
FLAGSTAFF, AZ
18700 N HAYDEN RD STE 525, SCOTTSDALE, AZ 85255
Registered with this firm since 1/6/2017

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
FLAGSTAFF, AZ
18700 N HAYDEN RD STE 525, SCOTTSDALE, AZ 85255
Registered with this firm since 1/6/2017

Previous Registration(s)
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IA
06/01/2009 - 01/17/2017 MORGAN STANLEY (CRD#:149777) BAKERSFIELD, CA
B
06/01/2009 - 01/17/2017 MORGAN STANLEY (CRD#:149777) BAKERSFIELD, CA
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BAKERSFIELD, CA
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BAKERSFIELD, CA
IA
11/10/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) BAKERSFIELD, CA
B
11/10/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) BAKERSFIELD, CA
IA
06/03/1993 - 12/05/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) INCLINE VILLAGE, NV
B
06/03/1993 - 12/05/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) INCLINE VILLAGE, NV
B
04/11/1988 - 06/16/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
02/19/1986 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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B
Broker
IA
Investment Adviser
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.