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RICHARD ALAN PALHEGYI
RICHARD A PALHEGYI, RICK PALHEGYI
CRD#: 1923077
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3280 PEACHTREE RD NE 4TH FL
[G4-RBO]
ATLANTA, GA 30305
Registration History
199019952000200520102015202020252 FIRMS2007 - Present (17 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2001 - 2007 (6 years)BBEAR, STEARNS & CO. INC. (CRD# 79)1992 - 2001 (8 years)BGRUNTAL & CO. INCORPORATED (CRD# 372)1991 - 1992 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 1991 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1990 - 1990 (<1 year)BOPPENHEIMER & CO., INC. (CRD# 630)1989 - 1990 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2007 (5 years)
Disclosure(s)
View By:
3/14/2023
Judgment / Lien
9/29/2022
Criminal
Final Disposition
7/8/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 11/10/2017

B
Massachusetts 8/20/2009

B
California 11/23/2007

B
Michigan 4/29/2020

B
Colorado 2/24/2011

B
Mississippi 12/23/2020

B
Connecticut 6/12/2017

B
New Mexico 2/11/2020

B
Florida 11/23/2007

B
North Carolina 11/23/2007

B
Georgia 11/23/2007

B
South Carolina 11/23/2007

IA
Georgia 11/23/2007

B
Tennessee 4/29/2009

B
Idaho 4/21/2017

B
Texas 11/23/2007

B
Iowa 1/4/2022

B
Virginia 8/20/2009

B
Maryland 9/9/2009

B
Washington 5/19/2021

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)
3280 PEACHTREE RD NE 4TH FL [G4-RBO], ATLANTA, GA 30305
Woodstock, GA
Registered with this firm since 11/23/2007

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3280 PEACHTREE RD NE 4TH FL [G4-RBO], ATLANTA, GA 30305
Woodstock, GA
Registered with this firm since 11/23/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/01/2002 - 11/27/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MARIETTA, GA
B
01/04/2001 - 11/27/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MARIETTA, GA
B
11/12/1992 - 01/11/2001 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
B
08/29/1991 - 10/30/1992 GRUNTAL & CO. INCORPORATED (CRD#:372) NEW YORK, NY
B
07/20/1990 - 09/05/1991 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
02/14/1990 - 08/08/1990 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
10/25/1989 - 02/05/1990 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
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Broker
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Investment Adviser
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.