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STEPHEN WALTER BROOKS
STEPHEN W BROOKS
CRD#: 1988905
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4030 W BOY SCOUT BLVD STE 150
TAMPA, FL 33607
Registration History
199019952000200520102015202020252 FIRMS1999 - 2009 (9 years)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (14 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1989 - 1991 (1 year)
License(s)

State Registrations

B
Arkansas 2/18/2011

B
Michigan 2/18/2011

B
California 2/18/2011

B
Minnesota 7/6/2022

B
Delaware 11/19/2020

B
New York 2/18/2011

B
Florida 2/18/2011

B
North Carolina 2/18/2011

IA
Florida 2/22/2011

B
Ohio 2/18/2011

B
Georgia 7/25/2016

B
Pennsylvania 2/18/2011

B
Illinois 2/18/2011

B
Texas 2/18/2011

B
Maryland 6/27/2024

IA
Texas 3/8/2011

B
Massachusetts 2/18/2011

B
Virginia 2/18/2011

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)
4030 W BOY SCOUT BLVD STE 150, TAMPA, FL 33607
Tampa, FL
Registered with this firm since 2/22/2011

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4030 W BOY SCOUT BLVD STE 150, TAMPA, FL 33607
Tampa, FL
Registered with this firm since 2/18/2011

Previous Registration(s)
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IA
06/01/2009 - 03/03/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) TAMPA, FL
B
06/01/2009 - 03/03/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) TAMPA, FL
IA
10/20/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TAMPA, FL
B
10/15/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TAMPA, FL
B
11/03/1989 - 09/25/1991 MML INVESTORS SERVICES, INC. (CRD#:10409)
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B
Broker
IA
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.