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Detailed Report
MARSHALL PEASE GRAHAM III
MARSHALL PEASE GRAHAM
CRD#: 227167
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1000 LOUISIANA ST 7TH FL
[PCG-9Q]
HOUSTON, TX 77002
Registration History
197519801985199019952000200520102015202020252 FIRMS1990 - Present (34 years)BLOVETT UNDERWOOD NEUHAUS & WEB... (CRD# 22540)1988 - 1990 (2 years)BBOETTCHER & COMPANY, INC. (CRD# 101)1988 - 1988 (<1 year)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1986 - 1988 (2 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1980 - 1986 (6 years)BPAINE, WEBBER, JACKSON & CURTI... (CRD# 640)1973 - 1980 (6 years)
License(s)

State Registrations

B
Arizona 10/30/2024
B
New York 6/14/1995
B
California 12/7/2005
B
North Carolina 6/18/2024
B
Colorado 9/4/1990
B
Ohio 5/21/1992
B
Delaware 5/18/2004
B
Texas 9/4/1990
B
Florida 1/5/2004
IA
Texas 9/4/1990
B
New Jersey 10/22/2018
B
Virginia 10/10/2002

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
1000 LOUISIANA ST 7TH FL [PCG-9Q], HOUSTON, TX 77002
Houston, TX
Registered with this firm since 9/4/1990
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1000 LOUISIANA ST 7TH FL [PCG-9Q], HOUSTON, TX 77002
Houston, TX
Registered with this firm since 9/4/1990
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/01/1988 - 09/04/1990 LOVETT UNDERWOOD NEUHAUS & WEBB, INC. (CRD#:22540)
B
 03/21/1988 - 09/01/1988 BOETTCHER & COMPANY, INC. (CRD#:101)
B
 01/29/1986 - 04/05/1988 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613)
B
 01/31/1980 - 01/31/1986 PAINEWEBBER INCORPORATED (CRD#:8174)
B
 03/21/1973 - 01/31/1980 PAINE, WEBBER, JACKSON & CURTIS INCORPORATED (CRD#:640)
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.