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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2001 - 2011 (9 years)2 FIRMS2011 - Present (14 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1995 - 2001 (5 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1995 - 1995 (<1 year)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1994 - 1994 (<1 year)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1993 - 1994 (<1 year)
Disclosure(s)
View By:
5/15/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 7/7/2021
B
Nebraska 1/22/2018
B
Arizona 1/3/2011
B
Nevada 10/8/2018
B
California 1/3/2011
B
New Hampshire 4/20/2023
IA
California 1/3/2011
B
New Jersey 7/17/2024
B
Colorado 1/3/2011
B
New Mexico 5/5/2016
B
Florida 10/21/2015
B
New York 1/20/2023
B
Georgia 2/15/2018
B
North Carolina 1/3/2011
B
Idaho 2/10/2023
B
Oregon 10/7/2024
B
Illinois 1/3/2011
B
South Carolina 2/7/2018
B
Kansas 2/22/2023
B
South Dakota 11/20/2024
B
Kentucky 3/26/2025
B
Texas 9/28/2016
B
Louisiana 2/9/2018
IA
Texas 9/30/2016
B
Massachusetts 11/23/2016
B
Utah 8/2/2023
B
Michigan 1/10/2025
B
Washington 1/3/2011
B
Mississippi 1/3/2011
B
Wisconsin 2/20/2024
B
Montana 1/17/2025
B
Wyoming 5/15/2024

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)
1302 GARNET AVE, SAN DIEGO, CA 92109
3299 EL CAJON BLVD, SAN DIEGO, CA 92104
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1302 GARNET AVE, SAN DIEGO, CA 92109
3299 EL CAJON BLVD, SAN DIEGO, CA 92104
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 05/15/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN DIEGO, CA
B
 05/02/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN DIEGO, CA
B
 11/17/1995 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 02/27/1995 - 03/22/1995 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 07/21/1994 - 10/07/1994 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
 10/20/1993 - 02/01/1994 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.