Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SCOTT MICHAEL KORUBA
CRD#: 2402637
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 KIAWAH ISLAND, SC
Registration History
19952000200520102015202020252 FIRMS2005 - Present (19 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2005 (5 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)1999 - 2000 (1 year)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1994 - 1999 (4 years)BINVESTORS ASSOCIATES, INC. (CRD# 958)1994 - 1994 (<1 year)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1993 - 1994 (<1 year)
License(s)

State Registrations

B
Arizona 4/3/2019
B
North Carolina 5/9/2006
B
California 1/5/2006
B
Ohio 12/8/2005
B
Colorado 7/18/2006
B
Pennsylvania 12/8/2005
B
Connecticut 4/5/2010
IA
Pennsylvania 12/9/2005
B
Florida 1/5/2006
B
South Carolina 7/8/2015
B
Maryland 1/17/2006
IA
South Carolina 1/30/2019
B
Missouri 9/23/2020
B
Tennessee 3/31/2023
B
New Jersey 12/8/2005
B
Texas 4/19/2023
B
New York 3/24/2006
B
Virginia 1/4/2010

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)
KIAWAH ISLAND, SC
955 CHESTERBROOK BLVD 3RD FL [L2-RBO], CHESTERBROOK, PA 19087
Registered with this firm since 12/9/2005
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
KIAWAH ISLAND, SC
955 CHESTERBROOK BLVD 3RD FL [L2-RBO], CHESTERBROOK, PA 19087
Registered with this firm since 12/8/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/03/2000 - 11/29/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 01/04/1999 - 08/01/2000 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ST. PETERSBURG, FL
B
 09/28/1994 - 01/04/1999 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
B
 01/12/1994 - 10/03/1994 INVESTORS ASSOCIATES, INC. (CRD#:958)
FINRA expelled the firm on 05/14/1998
HACKENSACK, NJ
B
 10/20/1993 - 01/13/1994 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.