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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS1989 - 1989 (<1 year)2 FIRMS2012 - Present (12 years)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)1992 - 2012 (19 years)BPOWELL & SATTERFIELD, INC. (CRD# 7030)1991 - 1992 (1 year)BRHODES SECURITIES, INC. (CRD# 19610)1990 - 1991 (1 year)BJ. O. DAVIDSON & ASSOCIATES, INC. (CRD# 7036)1989 - 1990 (<1 year)IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)1999 - 2012 (13 years)
Disclosure(s)
View By:
10/16/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/30/2012
B
Missouri 8/10/2012
B
California 8/10/2012
B
Nebraska 1/7/2014
B
Colorado 8/10/2012
B
Oklahoma 8/10/2012
B
Florida 7/25/2013
B
Oregon 1/8/2025
B
Georgia 3/18/2016
B
Texas 8/10/2012
B
Illinois 6/24/2016
IA
Texas 8/14/2012
B
Kansas 7/31/2012
B
Virginia 9/27/2012
IA
Kansas 7/31/2012
B
Washington 8/10/2012
B
Maryland 1/7/2014

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)
300 S MAIN, WICHITA, KS 67202
Wichita, KS
Registered with this firm since 7/31/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
300 S MAIN, WICHITA, KS 67202
Wichita, KS
Registered with this firm since 7/31/2012
Previous Registration(s)
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IA
 02/15/1999 - 08/02/2012 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) WICHITA, KS
B
 12/24/1992 - 08/02/2012 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) WICHITA, KS
B
 10/23/1991 - 12/23/1992 POWELL & SATTERFIELD, INC. (CRD#:7030) LITTLE ROCK, AR
B
 10/23/1990 - 11/01/1991 RHODES SECURITIES, INC. (CRD#:19610) FT WORTH, TX
B
 11/22/1989 - 10/24/1990 J. O. DAVIDSON & ASSOCIATES, INC. (CRD#:7036) OVERLAND PARK, KS
B
 10/16/1989 - 12/16/1989 SWINK & COMPANY, INC. (CRD#:7111)
FINRA expelled the firm on 09/17/1990
B
 03/21/1989 - 10/24/1989 FIRM ONE SECURITIES, INCORPORATED (CRD#:13531)
FINRA expelled the firm on 03/30/1991
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.