Individual Firm
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JOHN MERRILL LEBEAU
CRD#: 1716307
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1504 EUREKA RD
STE 300
ROSEVILLE, CA 95661
STE 300
ROSEVILLE, CA 95661
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9/30/2005
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 9/21/2022
B
South Carolina 8/10/2017
B
California 7/29/2005
B
Texas 3/6/2024
IA
California 7/29/2005
IA
Texas 3/6/2024
B
Michigan 7/29/2005
B
Washington 4/1/2025
B
Oregon 12/13/2013
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 7/29/2005
B
Registered with this firm since 7/29/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 08/01/2005 | ROSEVILLE, CA | |
B | 10/12/1988 - 08/01/2005 | PURCHASE, NY | |
B | 09/10/1987 - 12/12/1988 |
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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.