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
NAOKO M THIGPEN
NAOKO MASUYAMA, NAOKO M. THIGPEN
CRD#: 2252747
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 101 S CAPITOL BLVD STE 1210
[WJ/WB/WL/WS-RBO]
BOISE, ID 83702
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2019 (9 years)2 FIRMS2019 - 2023 (3 years)2 FIRMS2024 - Present (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2007 (6 years)BPROEQUITIES, INC. (CRD# 15708)1997 - 1998 (1 year)BPROEQUITIES, INC. (CRD# 15708)1993 - 1996 (3 years)IARW INVESTMENT MANAGEMENT LLC (CRD# 282707)2023 - 2024 (1 year)
Disclosure(s)
View By:
3/20/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 5/22/2024
B
Missouri 5/22/2024
B
Alaska 5/22/2024
B
Montana 5/22/2024
B
Arizona 5/22/2024
B
New Mexico 5/22/2024
B
California 5/22/2024
B
Oregon 5/22/2024
B
Colorado 5/22/2024
IA
Texas 5/20/2024
B
Florida 5/22/2024
B
Texas 5/22/2024
B
Hawaii 5/22/2024
B
Utah 5/22/2024
IA
Idaho 5/20/2024
B
Virginia 5/22/2024
B
Idaho 5/22/2024
B
Washington 5/22/2024
B
Kansas 5/22/2024
B
Wisconsin 5/22/2024
B
Maryland 5/22/2024

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)
101 S CAPITOL BLVD STE 1210 [WJ/WB/WL/WS-RBO], BOISE, ID 83702
Registered with this firm since 5/20/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
101 S CAPITOL BLVD STE 1210 [WJ/WB/WL/WS-RBO], BOISE, ID 83702
Registered with this firm since 5/22/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/22/2023 - 05/10/2024 RW INVESTMENT MANAGEMENT LLC (CRD#:282707) EAGLE, ID
IA
 05/16/2019 - 03/09/2023 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) BOISE, ID
B
 05/16/2019 - 03/09/2023 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) BOISE, ID
IA
 06/01/2009 - 05/14/2019 MORGAN STANLEY (CRD#:149777) BOISE, ID
B
 06/01/2009 - 05/14/2019 MORGAN STANLEY (CRD#:149777) BOISE, ID
IA
 10/29/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BOISE, ID
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BOISE, ID
B
 09/14/2000 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) BOISE, ID
B
 11/24/1997 - 12/31/1998 PROEQUITIES, INC. (CRD#:15708) BIRMINGHAM, AL
B
 01/29/1993 - 12/31/1996 PROEQUITIES, INC. (CRD#:15708) BIRMINGHAM, AL
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.