Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS2007 - 2010 (3 years)2 FIRMS2010 - 2022 (11 years)2 FIRMS2022 - Present (2 years)BMCDONALD INVESTMENTS INC. (CRD# 566)1999 - 2007 (7 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1991 - 1999 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 1989 (1 year)IAMCDONALD INVESTMENTS INC. (CRD# 566)2007 - 2007 (<1 year)
Disclosure(s)
View By:
10/5/2011
Customer Dispute
Settled
6/16/2004
Customer Dispute
Settled
License(s)

State Registrations

B
Arkansas 4/18/2023
B
Nebraska 2/13/2024
B
Colorado 2/18/2025
B
New Mexico 5/17/2022
B
Florida 5/17/2022
B
North Carolina 5/17/2022
B
Idaho 5/17/2022
B
Ohio 5/17/2022
B
Illinois 6/10/2022
IA
Ohio 5/25/2022
B
Maryland 11/2/2023
B
South Carolina 5/17/2022
B
Massachusetts 4/3/2023
B
Utah 4/3/2023
B
Michigan 10/25/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
4601 FULTON DR NW STE B, CANTON, OH 44718
Registered with this firm since 5/17/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4601 FULTON DR NW STE B, CANTON, OH 44718
Registered with this firm since 5/17/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/08/2010 - 05/24/2022 MORGAN STANLEY (CRD#:149777) Canton, OH
B
 07/02/2010 - 05/24/2022 MORGAN STANLEY (CRD#:149777) Canton, OH
IA
 02/09/2007 - 07/09/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) CANTON, OH
B
 02/09/2007 - 07/09/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) CANTON, OH
IA
 01/25/2007 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) CANTON, OH
B
 07/28/1999 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) CANTON, OH
B
 04/26/1991 - 07/30/1999 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 11/25/1987 - 02/21/1989 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.