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Detailed Report
BERNICE CHINN-MITRA
BERNICE CHIN, BERNICE CHINN, BERNICE CHINNMITRA
CRD#: 1765942
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6325 S RAINBOW BLVD 3RD FL
[LAS VEGAS RCAST]
LAS VEGAS, NV 89118
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2013 (1 year)2 FIRMS2013 - 2019 (5 years)2 FIRMS2020 - Present (4 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2011 (9 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1998 - 2001 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1995 - 1998 (2 years)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2008 - 2011 (2 years)
License(s)

State Registrations

B
Alabama 5/19/2020
B
Nevada 5/14/2020
B
Alaska 5/19/2020
IA
Nevada 5/27/2020
B
Arizona 5/19/2020
B
New Hampshire 5/19/2020
B
Arkansas 5/19/2020
B
New Jersey 5/19/2020
B
California 5/19/2020
B
New Mexico 5/19/2020
B
Colorado 5/19/2020
B
New York 5/19/2020
B
Connecticut 5/19/2020
B
North Carolina 5/19/2020
B
Delaware 5/19/2020
B
North Dakota 5/19/2020
B
District of Columbia 5/19/2020
B
Ohio 5/20/2020
B
Florida 5/19/2020
B
Oklahoma 5/19/2020
B
Georgia 5/19/2020
B
Oregon 5/19/2020
B
Hawaii 5/19/2020
B
Pennsylvania 5/19/2020
B
Idaho 5/19/2020
B
Puerto Rico 5/19/2020
B
Illinois 5/19/2020
B
Rhode Island 5/19/2020
B
Indiana 5/19/2020
B
South Carolina 5/19/2020
B
Iowa 5/19/2020
B
South Dakota 5/19/2020
B
Kansas 5/19/2020
B
Tennessee 5/19/2020
B
Kentucky 5/19/2020
B
Texas 5/19/2020
B
Louisiana 5/19/2020
IA
Texas 5/21/2020
B
Maine 5/19/2020
B
Utah 5/19/2020
B
Maryland 5/19/2020
B
Vermont 5/19/2020
B
Massachusetts 5/19/2020
B
Virgin Islands 5/19/2020
B
Michigan 5/19/2020
B
Virginia 5/19/2020
B
Minnesota 5/19/2020
B
Washington 5/19/2020
B
Mississippi 5/19/2020
B
West Virginia 5/19/2020
B
Missouri 5/19/2020
B
Wisconsin 5/19/2020
B
Montana 5/19/2020
B
Wyoming 5/19/2020
B
Nebraska 5/19/2020

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)
6325 S RAINBOW BLVD 3RD FL [LAS VEGAS RCAST], LAS VEGAS, NV 89118
Registered with this firm since 5/21/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6325 S RAINBOW BLVD 3RD FL [LAS VEGAS RCAST], LAS VEGAS, NV 89118
Registered with this firm since 5/14/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/27/2013 - 05/30/2019 MORGAN STANLEY (CRD#:149777) MENLO PARK, CA
B
 08/27/2013 - 05/30/2019 MORGAN STANLEY (CRD#:149777) MENLO PARK, CA
IA
 10/28/2011 - 08/20/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) MENLO PARK, CA
B
 10/28/2011 - 08/20/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) MENLO PARK, CA
IA
 01/03/2011 - 09/12/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) ST. LOUIS, MO
B
 01/03/2011 - 09/12/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) ST. LOUIS, MO
IA
 10/07/2008 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 05/02/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 01/20/1998 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 11/02/1995 - 01/01/1998 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.