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JOSEPH CARLYLE FRANK
JOSEPH C FRANK
CRD#: 2339650
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 151 40TH ST
OAKLAND, CA 94611
Registration History
19952000200520102015202020252 FIRMS2011 - Present (14 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2011 (9 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1995 - 2001 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1993 - 1995 (1 year)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)1998 - 2011 (12 years)
License(s)

State Registrations

B
Arizona 1/3/2011

B
Nevada 1/3/2011

B
California 1/3/2011

B
New Jersey 11/20/2019

IA
California 1/3/2011

B
New Mexico 10/25/2024

B
Colorado 6/29/2021

B
New York 7/23/2021

B
District of Columbia 8/23/2024

B
North Carolina 11/2/2022

B
Florida 3/25/2019

B
Oregon 1/14/2013

B
Georgia 2/19/2019

B
Rhode Island 8/23/2024

B
Idaho 8/23/2024

B
South Carolina 8/23/2024

B
Illinois 9/12/2016

B
Tennessee 6/20/2023

B
Louisiana 1/3/2011

B
Texas 1/3/2011

B
Maryland 1/3/2011

IA
Texas 11/18/2016

B
Michigan 11/11/2022

B
Vermont 11/15/2024

B
Mississippi 3/20/2019

B
Virginia 11/20/2019

B
Missouri 11/20/2019

B
Washington 1/3/2011

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

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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)
151 40TH ST, OAKLAND, CA 94611
Registered with this firm since 1/3/2011

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
151 40TH ST, OAKLAND, CA 94611
Registered with this firm since 1/3/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/06/1998 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) OAKLAND, CA
B
05/02/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) OAKLAND, CA
B
02/16/1995 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
05/06/1993 - 01/12/1995 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.