Individual Firm
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BRIAN SCOT STEVENSON
CRD#: 1854798
IA
B
WELLS FARGO ADVISORSCRD#: 19616 6515 LONGSHORE LOOP
STE 200
DUBLIN, OH 43017
STE 200
DUBLIN, OH 43017
View By:
2/23/2021
Financial
Pending
4/12/2016
Customer Dispute
Settled
2/6/2016
Customer Dispute
Denied
5/7/2015
Customer Dispute
Denied
3/31/2004
Customer Dispute
Closed-No Action
11/7/2002
Customer Dispute
Denied
8/10/2001
Customer Dispute
Denied
10/12/1993
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 11/25/2016
B
New Hampshire 1/22/2016
B
California 1/22/2016
B
New Jersey 1/22/2016
B
Colorado 11/9/2016
B
New York 1/22/2016
B
Florida 1/22/2016
B
North Carolina 1/22/2016
B
Georgia 1/22/2016
B
Ohio 1/22/2016
B
Hawaii 10/10/2022
IA
Ohio 1/22/2016
B
Illinois 6/21/2019
B
Pennsylvania 1/22/2016
B
Indiana 1/25/2016
B
South Carolina 1/28/2016
B
Maine 2/14/2024
B
Tennessee 8/9/2023
B
Maryland 9/9/2016
B
Texas 1/22/2016
B
Michigan 9/28/2018
IA
Texas 1/22/2016
B
Minnesota 11/26/2024
B
Virginia 6/4/2024
B
Montana 10/26/2023
B
Washington 8/13/2019
B
Nevada 3/15/2022
B
Wisconsin 1/22/2016
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 1/22/2016
B
Registered with this firm since 1/22/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 02/05/2016 | DUBLIN, OH | |
B | 06/01/2009 - 02/05/2016 | DUBLIN, OH | |
IA | 08/17/2007 - 06/01/2009 | DUBLIN, OH | |
B | 08/17/2007 - 06/01/2009 | DUBLIN, OH | |
IA | 06/21/2001 - 08/20/2007 | UPPER ARLINGTON, OH | |
B | 07/20/1988 - 08/20/2007 | UPPER ARLINGTON, OH |
UPPER ARLINGTON, OH
07/20/1988 - 08/20/2007
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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.