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LLOYD ALAN ZITOMER
CRD#: 1641047
IA
B
WELLS FARGO ADVISORSCRD#: 19616 7000 LINCOLN DR E STE 301
MARLTON, NJ 08053
MARLTON, NJ 08053
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5/13/2003
Customer Dispute
Award / Judgment
State Registrations
B
Alabama 1/29/2021
B
Missouri 3/28/2024
B
Arizona 4/4/2025
B
New Jersey 7/1/2003
B
California 7/1/2003
IA
New Jersey 7/1/2003
B
Colorado 6/16/2020
B
New Mexico 10/4/2010
B
Connecticut 11/19/2015
B
New York 7/1/2003
B
Delaware 7/1/2003
B
North Carolina 3/1/2024
B
District of Columbia 4/1/2019
B
Oregon 3/16/2025
B
Florida 7/1/2003
B
Pennsylvania 7/1/2003
B
Georgia 1/25/2010
IA
Pennsylvania 6/25/2024
B
Kansas 3/12/2025
B
South Carolina 9/7/2010
B
Maryland 5/4/2010
B
Texas 7/1/2003
B
Massachusetts 1/13/2025
IA
Texas 7/1/2003
B
Michigan 11/9/2010
B
Virginia 7/1/2003
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/1/2003
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Registered with this firm since 7/1/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/12/2001 - 07/01/2003 | MARLTON, NJ | |
B | 04/12/2001 - 07/01/2003 | NEW YORK, NY | |
B | 05/19/1988 - 04/20/2001 | NEW YORK, NY | |
B | 03/25/1987 - 06/02/1988 |
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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.