Individual Firm
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CHARLES JOSEPH INCALCATERRA III
CRD#: 1974665
IA
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WELLS FARGO ADVISORSCRD#: 19616 68 S SERVICE RD STE 200
MELVILLE, NY 11747
MELVILLE, NY 11747
View By:
1/15/2008
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 3/4/2022
B
New Mexico 2/17/2022
B
California 2/17/2022
B
New York 2/17/2022
B
Colorado 2/17/2022
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New York 2/17/2022
B
Connecticut 2/17/2022
B
North Carolina 2/17/2022
B
Florida 2/17/2022
B
Ohio 2/17/2022
B
Georgia 3/3/2022
B
South Carolina 2/17/2022
B
Illinois 3/17/2022
B
Tennessee 2/17/2022
B
Massachusetts 2/18/2022
B
Texas 2/17/2022
B
Minnesota 3/8/2022
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Texas 2/17/2022
B
Montana 2/17/2022
B
Vermont 2/17/2022
B
New Hampshire 2/17/2022
B
Virginia 3/7/2022
B
New Jersey 2/17/2022
B
West Virginia 9/6/2023
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 2/17/2022
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Registered with this firm since 2/17/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/14/2022 - 01/27/2022 | BABYLON, NY | |
B | 01/14/2022 - 01/27/2022 | BABYLON, NY | |
IA | 01/14/2003 - 01/19/2022 | UNIONDALE, NY | |
B | 03/12/1991 - 01/19/2022 | UNIONDALE, NY | |
B | 02/05/1990 - 06/12/1990 | ||
B | 08/22/1989 - 02/15/1990 |
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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.