Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOSE SERGIO BOHON
SERGIO BOHON
CRD#: 1547815
IA
B
WELLS FARGO ADVISORSCRD#: 19616 4141 INLAND EMPIRE BLVD
3RD FL STE 345
ONTARIO, CA 91764
3RD FL STE 345
ONTARIO, CA 91764
View By:
12/23/1998
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 2/17/2017
B
Missouri 12/9/2020
B
California 9/5/2014
B
Nevada 12/22/2016
IA
California 9/5/2014
B
Virginia 6/25/2020
B
Colorado 3/19/2020
B
Washington 12/21/2021
B
Florida 4/15/2021
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/5/2014
B
Registered with this firm since 9/5/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/08/2009 - 10/07/2014 | RIVERSIDE, CA | |
B | 12/04/2009 - 10/07/2014 | RIVERSIDE, CA | |
IA | 07/24/2006 - 03/17/2009 | LOS ANGELES, CA | |
B | 07/24/2006 - 03/17/2009 | LOS ANGELES, CA | |
IA | 11/08/1996 - 06/21/2006 | IRVINE, CA | |
B | 08/19/1986 - 06/21/2006 | IRVINE, CA |
RIVERSIDE, CA
12/08/2009 - 10/07/2014
RIVERSIDE, CA
12/04/2009 - 10/07/2014
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.