Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOSEPH PAUL CRISPINO
JOSEPH P CRISPINO
CRD#: 1933731
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1200 PITTSFORD VICTOR RD STE 100
PITTSFORD, NY 14534
Registration History
19901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2009 - Present (15 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 2008 (11 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1996 (2 years)BEDWARD D. JONES & CO., L.P. (CRD# 250)1990 - 1993 (3 years)
License(s)

State Registrations

B
Alabama 6/9/2020
IA
New York 7/27/2021
B
Arizona 2/10/2015
B
North Carolina 1/1/2008
B
California 1/1/2008
B
Ohio 1/1/2008
B
Colorado 1/1/2008
B
Oklahoma 1/13/2021
B
Florida 5/7/2018
B
Oregon 1/13/2021
B
Georgia 1/1/2008
B
Pennsylvania 1/1/2008
B
Illinois 2/18/2020
B
Rhode Island 3/5/2025
B
Indiana 6/22/2015
B
South Carolina 10/23/2015
B
Maine 9/27/2012
B
Tennessee 1/10/2025
B
Maryland 9/26/2013
IA
Texas 9/24/2009
B
Massachusetts 1/13/2021
B
Texas 11/30/2010
B
Michigan 1/13/2021
B
Virginia 1/22/2020
B
New Jersey 1/13/2021
B
Wisconsin 1/13/2021
B
New York 1/1/2008

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)
1200 PITTSFORD VICTOR RD STE 100, PITTSFORD, NY 14534
Registered with this firm since 9/24/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1200 PITTSFORD VICTOR RD STE 100, PITTSFORD, NY 14534
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/01/1996 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PITTSFORD, NY
B
 12/16/1993 - 03/11/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 08/14/1990 - 12/22/1993 EDWARD D. JONES & CO., L.P. (CRD#:250) ST. LOUIS, MO
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.