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STEPHEN GLENN KROCHMAL JR
STEPHEN GLENN KROCHMAL
CRD#: 2378985
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2033 N MAIN ST STE 800
WALNUT CREEK, CA 94596
Registration History
19952000200520102015202020252 FIRMS2014 - 2019 (4 years)2 FIRMS2019 - Present (5 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)1999 - 2015 (15 years)BCADARET, GRANT & CO., INC. (CRD# 10641)1998 - 1999 (1 year)BAIG EQUITY SALES CORP. (CRD# 5967)1997 - 1998 (<1 year)BSUN INVESTMENT SERVICES COMPANY (CRD# 5496)1993 - 1997 (3 years)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2001 - 2015 (13 years)
License(s)

State Registrations

B
Arizona 7/26/2019

B
Missouri 7/26/2019

B
California 7/26/2019

B
Nevada 7/26/2019

IA
California 7/29/2019

B
New York 10/10/2019

B
Colorado 7/26/2019

B
North Carolina 7/26/2019

B
Connecticut 12/1/2022

B
Ohio 7/26/2019

B
District of Columbia 7/26/2019

B
Oregon 7/26/2019

B
Florida 7/26/2019

B
Pennsylvania 7/26/2019

B
Georgia 8/2/2019

B
South Dakota 7/26/2019

B
Idaho 3/9/2022

B
Texas 7/26/2019

B
Illinois 7/26/2019

IA
Texas 7/26/2019

B
Indiana 11/8/2021

B
Vermont 2/22/2024

B
Louisiana 7/26/2019

B
Virginia 7/26/2019

B
Maryland 7/26/2019

B
Washington 10/13/2021

B
Massachusetts 11/8/2021

B
Wisconsin 7/26/2019

B
Michigan 7/26/2019

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)
2033 N MAIN ST STE 800, WALNUT CREEK, CA 94596
Registered with this firm since 7/26/2019

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2033 N MAIN ST STE 800, WALNUT CREEK, CA 94596
Registered with this firm since 7/26/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/26/2014 - 07/30/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WALNUT CREEK, CA
B
12/26/2014 - 07/30/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WALNUT CREEK, CA
IA
02/01/2001 - 01/02/2015 MML INVESTORS SERVICES, LLC (CRD#:10409) WALNUT CREEK, CA
B
05/11/1999 - 01/02/2015 MML INVESTORS SERVICES, LLC (CRD#:10409) WALNUT CREEK, CA
B
01/02/1998 - 04/22/1999 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
B
05/19/1997 - 01/02/1998 AIG EQUITY SALES CORP. (CRD#:5967) NEW YORK, NY
B
08/06/1993 - 05/14/1997 SUN INVESTMENT SERVICES COMPANY (CRD#:5496) WELLESLEY HILLS, MA
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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.