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Detailed Report
LORI ANN GARTNER
LORI A GARTNER
CRD#: 2387346
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 21 W 21ST ST 2ND FL
KEARNEY, NE 68847
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2008 (4 years)2 FIRMS2008 - Present (17 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1996 - 2003 (6 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2002 - 2003 (1 year)
Disclosure(s)
View By:
9/14/2015
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/3/2024
IA
Nebraska 1/1/2008
B
Colorado 1/1/2008
B
South Dakota 6/23/2017
B
Georgia 7/12/2011
B
Texas 11/24/2015
B
Iowa 1/1/2008
IA
Texas 11/24/2015
B
Kansas 4/30/2019
B
Utah 1/8/2021
B
Missouri 1/1/2008
B
Washington 11/1/2016
B
Nebraska 1/1/2008
B
Wisconsin 1/1/2008

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)
21 W 21ST ST 2ND FL, KEARNEY, NE 68847
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
21 W 21ST ST 2ND FL, KEARNEY, NE 68847
Registered with this firm since 1/1/2008
Previous Registration(s)
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B
 02/11/2003 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) KEARNEY, NE
IA
 02/18/2003 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) KEARNEY, NE
IA
 02/15/2002 - 02/03/2003 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) KEARNEY, NE
B
 04/16/1996 - 02/03/2003 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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.