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Detailed Report
Registration History
1995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 11025)2015 - Present (9 years)BWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2014 - Present (10 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2003 - 2014 (11 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2003 (6 years)BOPPENHEIMER & CO., INC. (CRD# 630)1995 - 1997 (1 year)BE.D. & F. MAN INTERNATIONAL SE... (CRD# 15770)1992 - 1995 (2 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1991 - 1992 (1 year)
Disclosure(s)
View By:
3/15/2006
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 10/3/2014
IA
New Jersey 5/4/2015
B
California 10/3/2014
B
New York 10/3/2014
B
Colorado 9/11/2017
IA
New York 7/27/2021
B
Connecticut 10/3/2014
B
North Carolina 3/12/2019
B
Delaware 9/17/2020
B
Pennsylvania 10/3/2014
B
Florida 10/3/2014
B
Rhode Island 5/24/2019
IA
Florida 10/5/2022
B
South Carolina 3/19/2024
B
Indiana 10/3/2014
B
Texas 3/12/2019
B
Massachusetts 10/3/2014
IA
Texas 3/12/2019
B
Michigan 11/30/2021
B
Virginia 10/3/2014
B
New Jersey 10/3/2014

SRO Registrations

B
 FINRA

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#:11025)
CAPE CORAL , FL
Registered with this firm since 5/4/2015
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
CAPE CORAL , FL
Registered with this firm since 10/3/2014
Previous Registration(s)
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B
 07/01/2003 - 10/03/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) MELVILLE, NY
B
 02/01/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 04/18/1995 - 01/22/1997 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
B
 08/20/1992 - 06/21/1995 E.D. & F. MAN INTERNATIONAL SECURITIES CORPORATION (CRD#:15770) NEW YORK, NY
B
 10/31/1991 - 10/07/1992 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.