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
Registration History
19952000200520102015202020252 FIRMS2013 - Present (12 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)1996 - 2013 (17 years)BKIRKPATRICK, PETTIS, SMITH, PO... (CRD# 490)1994 - 1996 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1994 (2 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)1999 - 2013 (13 years)
Disclosure(s)
View By:
11/5/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 11/14/2022
B
Nebraska 2/4/2016
B
Alaska 2/5/2018
B
Nevada 2/1/2013
B
Arizona 2/1/2013
B
New Hampshire 12/16/2020
B
Arkansas 2/26/2019
B
New Jersey 11/14/2022
B
California 2/1/2013
B
New Mexico 2/1/2013
B
Colorado 2/1/2013
B
New York 1/9/2015
IA
Colorado 2/1/2013
B
North Carolina 1/20/2015
B
Connecticut 7/14/2022
B
North Dakota 1/9/2015
B
Delaware 5/8/2018
B
Ohio 2/1/2013
B
District of Columbia 11/14/2022
B
Oklahoma 2/22/2013
B
Florida 2/1/2013
B
Oregon 2/1/2013
B
Georgia 2/1/2013
B
Pennsylvania 2/26/2019
B
Hawaii 12/18/2017
B
Puerto Rico 2/26/2019
B
Idaho 8/29/2013
B
Rhode Island 2/26/2019
B
Illinois 2/1/2013
B
South Carolina 2/1/2013
B
Indiana 2/5/2013
B
South Dakota 2/26/2019
B
Iowa 1/21/2021
B
Tennessee 12/16/2020
B
Kansas 12/2/2021
B
Texas 2/1/2013
B
Kentucky 11/14/2022
IA
Texas 2/20/2020
B
Louisiana 9/20/2016
B
Utah 10/11/2019
B
Maine 11/14/2022
B
Vermont 11/14/2022
B
Maryland 12/18/2017
B
Virgin Islands 11/14/2022
B
Massachusetts 12/18/2017
B
Virginia 1/9/2015
B
Michigan 5/19/2016
B
Washington 2/1/2013
B
Minnesota 1/13/2015
B
West Virginia 12/16/2020
B
Mississippi 1/9/2015
B
Wisconsin 2/1/2013
B
Missouri 12/14/2020
B
Wyoming 2/1/2013
B
Montana 2/26/2019

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
115 E RIVERWALK, PUEBLO, CO 81003
Registered with this firm since 2/1/2013
B
MORGAN STANLEY (CRD#:149777)
115 E RIVERWALK, PUEBLO, CO 81003
Registered with this firm since 2/1/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/06/1999 - 02/04/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) PUEBLO, CO
B
 02/08/1996 - 02/04/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) PUEBLO, CO
B
 08/01/1994 - 02/21/1996 KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (CRD#:490) OMAHA, NE
B
 02/10/1992 - 08/05/1994 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.