Individual Firm
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AUBREY DEXTER PARKER
CRD#: 2454088
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1815 ROCKBRIDGE RD
STONE MOUNTAIN, GA 30087
STONE MOUNTAIN, GA 30087
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1/16/2025
Customer Dispute
Pending
5/6/2020
Customer Dispute
Settled
State Registrations
B
Arkansas 4/28/2020
B
New Mexico 6/28/2024
B
California 1/9/2025
B
North Carolina 10/24/2024
B
Florida 2/8/2011
B
Pennsylvania 6/10/2020
B
Georgia 12/15/2010
IA
Texas 4/2/2020
IA
Georgia 12/16/2010
B
Texas 4/3/2020
B
Maryland 1/30/2025
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/16/2010
B
Registered with this firm since 12/15/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/02/2010 - 12/17/2010 | DULUTH, GA | |
B | 10/29/2010 - 12/17/2010 | DULUTH, GA | |
IA | 07/03/2002 - 11/01/2010 | ATLANTA, GA | |
B | 06/15/2002 - 11/01/2010 | ATLANTA, GA | |
B | 02/14/2000 - 06/15/2002 | CHARLOTTE, NC | |
B | 09/29/1997 - 02/14/2000 | WINSTON SALEM, NC | |
B | 06/12/1996 - 09/18/1997 | OVERLAND PARK, KS |
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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.