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PAUL B PAYNE II
PAUL B (II) PAYNE
CRD#: 2207647
IA
B
WELLS FARGO ADVISORSCRD#: 19616 2056 WESTINGS AVE STE 500
NAPERVILLE, IL 60563
NAPERVILLE, IL 60563
View By:
6/24/2009
Customer Dispute
Withdrawn
State Registrations
B
Alabama 3/5/2007
B
Michigan 7/1/2003
B
Arizona 3/21/2013
B
Minnesota 8/21/2020
B
California 7/1/2003
B
Nevada 8/28/2020
B
Colorado 4/3/2024
B
North Carolina 7/1/2003
B
Florida 7/1/2003
B
North Dakota 11/6/2024
B
Illinois 7/1/2003
B
Ohio 11/21/2012
IA
Illinois 7/1/2003
B
South Carolina 7/15/2009
B
Indiana 7/1/2003
B
Tennessee 6/17/2021
B
Massachusetts 5/2/2007
B
Wisconsin 2/13/2024
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/1/2003
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Registered with this firm since 7/1/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/01/2000 - 07/01/2003 | OAKBROOK TERRACE, IL | |
B | 09/01/2000 - 07/01/2003 | NEW YORK, NY | |
B | 03/11/1992 - 09/07/2000 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.