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
PHILIP CHRISTOPHER CURRAN
PHIL CURRAN
CRD#: 2138603
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 699 CONTRA COSTA BLVD
PLEASANT HILL, CA 94523
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - Present (11 years)BMORGAN STANLEY DW INC. (CRD# 7556)1991 - 2007 (15 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2007 (8 years)
Disclosure(s)
View By:
10/8/2013
Customer Dispute
Denied
10/1/2013
Customer Dispute
Denied
8/9/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/28/2013
B
Louisiana 5/26/2022
B
California 9/27/2013
B
Nevada 9/3/2015
IA
California 9/30/2013
B
Oregon 6/25/2015
B
Colorado 11/24/2020
B
Tennessee 9/3/2024
B
Florida 4/29/2021
B
Texas 7/16/2015
B
Hawaii 9/22/2020
IA
Texas 7/16/2015
B
Idaho 11/14/2019
B
Virginia 2/28/2024
B
Kentucky 1/10/2025
B
Washington 1/13/2021

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)
699 CONTRA COSTA BLVD, PLEASANT HILL, CA 94523
2380 MONUMENT BLVD STE G, PLEASANT HILL, CA 94523
Registered with this firm since 9/30/2013
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
699 CONTRA COSTA BLVD, PLEASANT HILL, CA 94523
2380 MONUMENT BLVD STE G, PLEASANT HILL, CA 94523
Registered with this firm since 9/27/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 10/11/2013 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
B
 06/01/2009 - 10/11/2013 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WALNUT CREEK, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WALNUT CREEK, CA
IA
 11/02/1998 - 04/02/2007 MORGAN STANLEY (CRD#:7556) WALNUT CREEK, CA
B
 05/28/1991 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) WALNUT CREEK, CA
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.