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PATTI ANN SHOPNECK
PATTI A SHOPNECK
CRD#: 2379602
IA
B
WELLS FARGO ADVISORSCRD#: 19616 10900 S PARKER RD
PARKER, CO 80134
PARKER, CO 80134
0
Disclosures
31
Years of Experience
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State Registrations
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California 1/3/2011
B
Colorado 1/3/2011
IA
California 1/3/2011
IA
Colorado 1/3/2011
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/01/2002 - 01/03/2011 | ENGLEWOOD, CO | |
B | 05/01/2002 - 01/03/2011 | SAN FRANCISCO, CA | |
B | 11/13/1993 - 12/17/2001 | WESTLAKE, TX | |
B | 08/19/1993 - 09/02/1993 | GREENWOOD VILLAGE, CO |
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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.