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JAMES ROY PAIGE
CRD#: 1726609
IA
B
WELLS FARGO ADVISORSCRD#: 19616 3545 OCEAN DR
VERO BEACH, FL 32963
VERO BEACH, FL 32963
View By:
2/6/2024
Customer Dispute
Pending
7/12/2023
Judgment / Lien
5/1/2023
Customer Dispute
Settled
12/20/2022
Customer Dispute
Closed-No Action
12/20/2022
Customer Dispute
Closed-No Action
12/20/2022
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 11/23/2020
B
New Hampshire 1/20/2012
B
Arkansas 4/15/2019
B
New Jersey 1/20/2012
B
California 10/31/2008
B
New York 10/31/2008
B
Colorado 1/20/2012
B
North Carolina 10/31/2008
B
Connecticut 10/31/2008
B
Ohio 1/23/2012
B
Delaware 1/8/2018
B
Oklahoma 8/10/2021
B
Florida 10/31/2008
B
Oregon 2/23/2021
IA
Florida 11/25/2008
B
Pennsylvania 9/25/2015
B
Georgia 1/20/2012
B
South Carolina 1/20/2012
B
Illinois 10/31/2008
B
Tennessee 1/20/2012
B
Maine 10/28/2020
B
Texas 10/31/2008
B
Maryland 10/31/2008
IA
Texas 10/31/2008
B
Massachusetts 10/31/2008
B
Utah 1/16/2013
B
Michigan 4/3/2019
B
Virginia 1/25/2012
B
Mississippi 2/1/2022
B
West Virginia 5/21/2015
B
Missouri 10/31/2008
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 10/31/2008
B
Registered with this firm since 10/31/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 11/04/2008 | VERO BEACH, FL | |
B | 04/02/2007 - 11/04/2008 | VERO BEACH, FL | |
IA | 01/01/1991 - 04/02/2007 | VERO BEACH, FL | |
B | 11/14/1988 - 04/02/2007 | VERO BEACH, FL | |
B | 08/20/1987 - 12/15/1987 |
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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.