Individual Firm
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SHANNON TARA RYAN
SHANNON TARA NEIBLING
CRD#: 2332428
IA
B
WELLS FARGO ADVISORSCRD#: 19616 2141 ROSECRANS AVE STE 4100
EL SEGUNDO, CA 90245
EL SEGUNDO, CA 90245
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9/23/2002
Customer Dispute
Denied
State Registrations
B
Alabama 11/15/2024
B
Mississippi 2/15/2019
B
Arizona 10/21/2013
B
Missouri 10/21/2013
B
California 10/21/2013
B
Nevada 1/19/2017
IA
California 10/21/2013
B
New Mexico 1/19/2017
B
Colorado 1/19/2017
B
New York 1/29/2016
B
Florida 1/19/2017
B
North Carolina 10/21/2013
B
Georgia 10/21/2013
B
Oklahoma 1/19/2017
B
Hawaii 1/19/2017
B
Oregon 10/21/2013
B
Idaho 1/19/2017
B
Tennessee 10/27/2021
B
Indiana 10/21/2013
B
Texas 1/4/2017
B
Kansas 9/25/2020
IA
Texas 1/4/2017
B
Kentucky 6/23/2015
B
Utah 1/19/2017
B
Michigan 11/13/2024
B
Virginia 9/18/2020
B
Minnesota 11/15/2024
B
Washington 10/21/2013
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 10/21/2013
B
Registered with this firm since 10/21/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/07/1994 - 10/25/2013 | HERMOSA BEACH, CA | |
B | 01/28/1994 - 10/25/2013 | HERMOSA BEACH, CA | |
B | 08/20/1993 - 07/03/2006 | MINNEAPOLIS, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.