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SAMUEL DICKSON
SAMUEL DICK
CRD#: 2240549
IA
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WELLS FARGO ADVISORSCRD#: 19616 4328 BLANDING BLVD
JACKSONVILLE, FL 32210
JACKSONVILLE, FL 32210
View By:
9/17/2012
Customer Dispute
Denied
State Registrations
B
Alabama 8/24/2021
B
Montana 2/28/2022
B
Arizona 4/19/2017
B
Nevada 1/15/2020
B
Arkansas 6/24/2019
B
New Hampshire 3/21/2022
B
California 9/29/2021
B
New Jersey 4/20/2012
B
Colorado 1/25/2023
B
New Mexico 5/25/2022
B
Connecticut 1/12/2021
B
New York 9/23/2002
B
Delaware 1/5/2024
B
North Carolina 12/2/2003
B
Florida 10/1/2000
B
North Dakota 2/28/2022
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Florida 10/1/2000
B
Ohio 8/15/2021
B
Georgia 10/1/2000
B
Oregon 7/7/2021
B
Hawaii 1/5/2024
B
Pennsylvania 1/15/2020
B
Illinois 7/14/2020
B
Puerto Rico 10/5/2023
B
Indiana 5/18/2022
B
South Carolina 8/14/2020
B
Iowa 4/3/2025
B
Tennessee 11/3/2010
B
Kansas 4/15/2016
B
Texas 9/30/2003
B
Kentucky 11/23/2022
B
Vermont 2/9/2022
B
Louisiana 4/3/2025
B
Virginia 1/7/2019
B
Maine 5/3/2021
B
Washington 5/27/2020
B
Maryland 12/13/2023
B
West Virginia 7/1/2008
B
Minnesota 11/23/2022
B
Wisconsin 2/28/2022
B
Mississippi 10/2/2023
B
Wyoming 3/14/2024
B
Missouri 8/29/2012
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 10/1/2000
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Registered with this firm since 10/1/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/30/1999 - 10/01/2000 | CHARLOTTE, NC | |
B | 07/07/1992 - 08/07/1995 | SPRINGFIELD, MA | |
B | 07/07/1992 - 08/07/1995 | NEW YORK, NY |
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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.
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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.