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DELORES RUTH BROCKINGTON
DELORES RUTH CONGO
CRD#: 1463047
IA
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WELLS FARGO ADVISORSCRD#: 19616 100 N 18TH ST 21ST FL
[VF-RBO]
PHILADELPHIA, PA 19103
[VF-RBO]
PHILADELPHIA, PA 19103
0
Disclosures
26
Years of Experience
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State Registrations
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Arizona 10/1/2000
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Nebraska 10/23/2024
B
California 10/1/2000
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Nevada 10/1/2000
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Colorado 10/1/2000
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New Hampshire 5/23/2024
B
Connecticut 10/1/2000
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New Jersey 10/1/2000
B
Delaware 10/1/2000
B
New York 10/1/2000
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District of Columbia 10/1/2000
B
North Carolina 10/1/2000
B
Florida 10/1/2000
B
Ohio 10/1/2000
B
Georgia 10/1/2000
B
Oklahoma 9/30/2020
B
Hawaii 1/23/2024
B
Oregon 11/22/2016
B
Illinois 10/1/2000
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Pennsylvania 10/1/2000
B
Indiana 1/5/2021
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Pennsylvania 2/13/2012
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Iowa 9/30/2020
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Rhode Island 10/1/2000
B
Kansas 1/14/2016
B
South Carolina 10/1/2000
B
Kentucky 1/23/2020
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Tennessee 9/30/2020
B
Maine 2/16/2011
B
Texas 10/1/2000
B
Maryland 10/1/2000
B
Utah 1/23/2024
B
Massachusetts 10/1/2000
B
Vermont 1/14/2016
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Michigan 10/1/2000
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Virginia 10/1/2000
B
Minnesota 10/1/2000
B
Washington 1/23/2024
B
Mississippi 10/19/2023
B
West Virginia 11/9/2017
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Missouri 2/16/2011
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Wisconsin 9/30/2020
B
Montana 1/14/2016
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Wyoming 1/23/2024
SRO Registrations
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Registered with this firm since 2/13/2012
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Registered with this firm since 10/1/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/25/1998 - 10/01/2000 | CHARLOTTE, NC | |
B | 06/04/1998 - 09/25/1998 | ST. LOUIS, MO |
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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.