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CAROLINE AGAMATA MCCORMICK
CAROLINE MARIA AGAMATA, CAROLINE AGAMATA, CAROLINE AGAMATA MCCORMICK
CRD#: 2189677
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1999 AVENUE OF THE STARS
STE 2200
LOS ANGELES, CA 90067
Registration History
19952000200520102015202020252 FIRMS1997 - 2003 (6 years)2 FIRMS2003 - Present (21 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 1997 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1993 - 1994 (1 year)BJMC INVESTMENT SERVICES, INC. (CRD# 14376)1992 - 1993 (<1 year)
License(s)

State Registrations

B
California 7/1/2003

B
New York 10/4/2022

IA
California 7/1/2003

B
Oregon 2/15/2023

B
Georgia 2/15/2023

B
Texas 1/14/2021

B
Minnesota 2/15/2023

IA
Texas 1/21/2021

B
Montana 4/2/2020

B
Virginia 1/12/2023

B
Nevada 2/15/2023

B
Wyoming 2/15/2023

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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1999 AVENUE OF THE STARS STE 2200, LOS ANGELES, CA 90067
SANTA MONICA, CA
Registered with this firm since 7/1/2003

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1999 AVENUE OF THE STARS STE 2200, LOS ANGELES, CA 90067
SANTA MONICA, CA
Registered with this firm since 7/1/2003

Previous Registration(s)
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07/08/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) LOS ANGELES, CA
B
05/07/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
11/10/1994 - 05/13/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
07/13/1993 - 10/26/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
08/03/1992 - 07/12/1993 JMC INVESTMENT SERVICES, INC. (CRD#:14376) BOSTON, MA
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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.