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Detailed Report
JOHN PATRICK CAVANAUGH
CRD#: 1831163
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 500 PLUM ST
BRIDGEWATER PLACE
SYRACUSE, NY 13204
Registration History
199019952000200520102015202020252 FIRMS2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1992 - 2003 (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1988 - 1992 (4 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (5 years)
Disclosure(s)
View By:
8/10/2004
Regulatory
Final
License(s)

State Registrations

B
Arizona 7/1/2003
B
Nevada 12/14/2011
B
California 7/1/2003
B
New Hampshire 1/3/2012
B
Colorado 12/8/2011
B
New Jersey 7/1/2003
B
Connecticut 7/1/2003
B
New Mexico 12/1/2011
B
District of Columbia 1/30/2019
B
New York 7/1/2003
B
Florida 7/1/2003
IA
New York 7/27/2021
B
Georgia 11/28/2012
B
North Carolina 7/1/2003
B
Illinois 12/1/2011
B
Ohio 1/31/2023
B
Kansas 12/5/2011
B
Oregon 11/13/2024
B
Kentucky 7/1/2003
B
Pennsylvania 2/29/2008
B
Louisiana 3/6/2023
B
Rhode Island 12/1/2011
B
Maine 7/1/2003
B
South Carolina 12/2/2011
B
Maryland 7/1/2003
B
South Dakota 1/8/2024
B
Massachusetts 7/1/2003
B
Tennessee 7/1/2003
B
Michigan 7/13/2023
IA
Texas 7/1/2003
B
Mississippi 9/17/2024
B
Texas 12/10/2013
B
Missouri 12/16/2015
B
Virginia 7/1/2003
B
Montana 8/26/2024
B
Washington 4/25/2024

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
500 PLUM ST BRIDGEWATER PLACE, SYRACUSE, NY 13204
Registered with this firm since 7/1/2003
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
500 PLUM ST BRIDGEWATER PLACE, SYRACUSE, NY 13204
Registered with this firm since 7/1/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/16/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) SYRACUSE, NY
B
 05/18/1992 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 05/25/1988 - 05/27/1992 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, 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.