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Detailed Report
LAURIE CERNAC BROCK
LAURIE LOUISE CERNAC
CRD#: 2241507
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 901 BRUCE RD STE 240
CHICO, CA 95928
Registration History
19952000200520102015202020252 FIRMS2021 - Present (3 years)BFRANKLIN DISTRIBUTORS, INC. (CRD# 332)1992 - 1993 (<1 year)
Disclosure(s)
View By:
12/22/2023
Financial
Pending
License(s)

State Registrations

B
Arizona 4/27/2022
B
Missouri 4/27/2022
B
California 12/3/2021
B
Montana 12/4/2024
IA
California 12/3/2021
B
Nevada 11/8/2022
B
Colorado 4/27/2022
B
North Carolina 4/27/2022
B
Delaware 4/27/2022
B
Oklahoma 4/27/2022
B
District of Columbia 11/5/2024
B
Oregon 4/27/2022
B
Florida 11/8/2022
B
South Carolina 4/27/2022
B
Georgia 11/8/2022
B
South Dakota 11/8/2022
B
Hawaii 4/27/2022
B
Tennessee 4/27/2022
B
Idaho 11/8/2022
B
Texas 4/27/2022
B
Iowa 4/27/2022
IA
Texas 4/27/2022
B
Maryland 11/8/2022
B
Utah 11/8/2022
B
Massachusetts 12/6/2024
B
Washington 4/27/2022
B
Mississippi 4/13/2023
B
Wyoming 3/31/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, 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)
901 BRUCE RD STE 240, CHICO, CA 95928
Registered with this firm since 12/3/2021
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
901 BRUCE RD STE 240, CHICO, CA 95928
Registered with this firm since 4/17/2021
Previous Registration(s)
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B
 10/30/1992 - 03/24/1993 FRANKLIN DISTRIBUTORS, INC. (CRD#:332)
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.