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Detailed Report
SAM GEORGE CONSOS III
SAM CONSOS
CRD#: 2058510
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 350 W COLORADO BLVD
3RD FL STE B
PASADENA, CA 91105
Registration History
19952000200520102015202020252 FIRMS2001 - 2011 (9 years)2 FIRMS2011 - Present (14 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)2000 - 2001 (1 year)BCAL FED INVESTMENTS (CRD# 19631)1998 - 2000 (1 year)BGLENFED BROKERAGE SERVICES (CRD# 13648)1995 - 1998 (3 years)BLAZAR FREDERICK & COMPANY (CRD# 15615)1994 - 1995 (1 year)BASB FINANCIAL SERVICES (CRD# 24280)1993 - 1994 (1 year)BGRIFFIN FINANCIAL SERVICES (CRD# 10823)1992 - 1993 (<1 year)
Disclosure(s)
View By:
8/28/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/6/2024
B
Nevada 1/3/2011
B
California 1/3/2011
B
New Mexico 1/24/2017
IA
California 1/3/2011
B
New York 7/19/2024
B
Colorado 7/19/2024
B
North Carolina 10/30/2024
B
Florida 12/26/2019
B
Ohio 7/19/2024
B
Georgia 7/22/2024
B
Oregon 1/3/2011
B
Hawaii 7/19/2024
B
Pennsylvania 7/19/2024
B
Idaho 1/5/2023
B
South Carolina 7/19/2024
B
Indiana 7/19/2024
B
Tennessee 7/19/2024
B
Maryland 7/25/2024
B
Texas 7/18/2024
B
Minnesota 7/19/2024
IA
Texas 7/18/2024
B
Missouri 8/8/2024
B
Washington 7/19/2024

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)
350 W COLORADO BLVD 3RD FL STE B, PASADENA, CA 91105
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
350 W COLORADO BLVD 3RD FL STE B, PASADENA, CA 91105
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/15/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) ENCINO, CA
B
 05/02/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) ENCINO, CA
B
 02/22/2000 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 11/14/1998 - 02/10/2000 CAL FED INVESTMENTS (CRD#:19631) SACRAMENTO, CA
B
 11/28/1995 - 11/14/1998 GLENFED BROKERAGE SERVICES (CRD#:13648) GLENDALE, CA
B
 12/09/1994 - 12/04/1995 LAZAR FREDERICK & COMPANY (CRD#:15615) BEVERLY HILLS, CA
B
 05/21/1993 - 08/17/1994 ASB FINANCIAL SERVICES (CRD#:24280) IRVINE, CA
B
 10/29/1992 - 05/20/1993 GRIFFIN FINANCIAL SERVICES (CRD#:10823)
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.