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Detailed Report
JOHN AJWANI
GAUTAM JOHN AJWANI, GAUTAM AJWANI, JONATHAN AJWANI, John Ajwani
CRD#: 2272806
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1025 GREENWOOD BLVD STE 179
LAKE MARY, FL 32746
Registration History
19952000200520102015202020252 FIRMS1993 - 1993 (<1 year)2 FIRMS1994 - 1994 (<1 year)2 FIRMS2024 - Present (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1995 - 2024 (28 years)BWATERHOUSE SECURITIES, INC. (CRD# 7870)1995 - 1995 (<1 year)BINDEPENDENT FINANCIAL SECURITI... (CRD# 19924)1994 - 1995 (<1 year)
License(s)

State Registrations

B
Arkansas 8/1/2024
B
Massachusetts 8/1/2024
B
Florida 8/1/2024
IA
Texas 9/9/2024
IA
Florida 9/10/2024
B
Utah 8/1/2024

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)
1025 GREENWOOD BLVD STE 179, LAKE MARY, FL 32746
Registered with this firm since 9/9/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1025 GREENWOOD BLVD STE 179, LAKE MARY, FL 32746
Registered with this firm since 8/1/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/22/1995 - 01/10/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Orlando, FL
B
 06/05/1995 - 11/30/1995 WATERHOUSE SECURITIES, INC. (CRD#:7870) OMAHA, NE
B
 09/20/1994 - 05/19/1995 INDEPENDENT FINANCIAL SECURITIES, INC. (CRD#:19924)
B
 05/09/1994 - 10/08/1994 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
 05/09/1994 - 10/08/1994 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
B
 05/11/1993 - 12/10/1993 ROBERT TODD FINANCIAL CORP. (CRD#:7423) NEW YORK, NY
B
 02/23/1993 - 04/27/1993 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
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.