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Detailed Report
MIGUEL LOPEZ JR
MIGUEL LOPEZ
CRD#: 2319047
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 17 W WASHINGTON ST
STOCKTON, CA 95202
Registration History
19952000200520102015202020252 FIRMS2001 - 2008 (6 years)2 FIRMS2008 - Present (17 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1994 - 2001 (7 years)BDICKINSON & CO. (CRD# 689)1993 - 1993 (<1 year)
License(s)

State Registrations

B
California 3/5/2008
B
Georgia 3/11/2021
IA
California 3/5/2008
B
Idaho 5/9/2022
B
Colorado 5/13/2022
B
Louisiana 10/18/2024
B
Florida 6/4/2024
B
North Carolina 3/5/2008

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)
17 W WASHINGTON ST, STOCKTON, CA 95202
7650 PACIFIC AVE, STOCKTON, CA 95207
Registered with this firm since 3/5/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
17 W WASHINGTON ST, STOCKTON, CA 95202
7650 PACIFIC AVE, STOCKTON, CA 95207
Registered with this firm since 3/5/2008
Previous Registration(s)
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IA
 05/15/2001 - 03/10/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) STOCKTON, CA
B
 05/02/2001 - 03/10/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) STOCKTON, CA
B
 04/15/1994 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 04/28/1993 - 12/17/1993 DICKINSON & CO. (CRD#:689)
FINRA expelled the firm on 04/07/1998
DES MOINES, IA
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.