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
JULIE THUY-LAN NGO
LAN JULIE NGO, LAN THI PHAM
CRD#: 2207214
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3020 OLD RANCH PKWY
STES 190, 150 & 140
SEAL BEACH, CA 90740
Registration History
19952000200520102015202020252 FIRMS2003 - 2009 (5 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2015 - 2021 (5 years)2 FIRMS2023 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1994 - 2003 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 1994 (<1 year)BSPELMAN & CO., INC. (CRD# 10232)1992 - 1994 (1 year)IAMORGAN STANLEY (CRD# 7556)1998 - 2003 (5 years)
License(s)

State Registrations

B
Alabama 7/19/2024
B
Nevada 2/15/2023
B
Arizona 2/8/2023
B
New Hampshire 2/16/2023
IA
California 2/1/2023
B
New Mexico 2/20/2023
B
California 2/2/2023
B
New York 2/9/2023
B
Colorado 2/8/2023
B
North Carolina 2/9/2023
B
Connecticut 8/1/2024
B
Ohio 2/9/2023
B
Florida 2/2/2023
B
Oregon 2/9/2023
B
Georgia 2/13/2023
B
South Carolina 2/13/2023
B
Hawaii 2/10/2023
B
Tennessee 2/21/2023
B
Idaho 2/2/2023
IA
Texas 2/1/2023
B
Illinois 2/17/2023
B
Texas 2/9/2023
B
Indiana 1/15/2024
B
Utah 2/9/2023
B
Kansas 2/9/2023
B
Virgin Islands 2/22/2023
B
Maryland 3/30/2023
B
Virginia 2/6/2023
B
Mississippi 2/21/2023
B
Washington 2/9/2023
B
Missouri 2/9/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
3020 OLD RANCH PKWY STES 190, 150 & 140, SEAL BEACH, CA 90740
Registered with this firm since 2/1/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3020 OLD RANCH PKWY STES 190, 150 & 140, SEAL BEACH, CA 90740
Registered with this firm since 2/1/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/01/2015 - 08/24/2021 MORGAN STANLEY (CRD#:149777) LONG BEACH, CA
B
 10/19/2015 - 08/24/2021 MORGAN STANLEY (CRD#:149777) LONG BEACH, CA
IA
 06/01/2009 - 12/18/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LONG BEACH, CA
B
 06/01/2009 - 12/18/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LONG BEACH, CA
IA
 10/15/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LONG BEACH, CA
B
 10/15/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LONG BEACH, CA
IA
 08/28/1998 - 10/06/2003 MORGAN STANLEY (CRD#:7556) LONG BEACH, CA
B
 11/03/1994 - 10/06/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 02/22/1994 - 09/09/1994 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 04/15/1992 - 03/16/1994 SPELMAN & CO., INC. (CRD#:10232) PHOENIX, AZ
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.