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
STEVE BRUCE DURMAN
STEFAN DURMAN, STEVE B DURMAN, STEVEN BRUCE DURMAN, STEVEN DURMAN
CRD#: 2507978
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 211 W MAIN ST 1ST & 2ND FLS
BOZEMAN, MT 59715
Registration History
19952000200520102015202020252 FIRMS2010 - 2012 (1 year)2 FIRMS2012 - Present (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2010 (2 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2007 (4 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)2001 - 2002 (<1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1999 - 2001 (2 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)1997 - 1999 (1 year)BASB FINANCIAL SERVICES (CRD# 24280)1997 - 1997 (<1 year)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1994 - 1997 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2008 - 2010 (2 years)
Disclosure(s)
View By:
1/27/2021
Customer Dispute
Denied
8/10/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 3/20/2023
B
Montana 4/19/2022
B
California 1/31/2012
IA
Montana 8/12/2022
IA
California 2/1/2012
B
Nevada 3/10/2016
B
Colorado 1/31/2012
IA
Nevada 6/15/2016
IA
Colorado 1/31/2012
B
Tennessee 11/30/2022
B
Florida 3/2/2021
B
Texas 3/2/2021
B
Idaho 7/12/2022
IA
Texas 3/3/2021
IA
Idaho 7/12/2022
B
Utah 3/17/2023
B
Maryland 10/6/2014
B
Washington 12/4/2020
B
Mississippi 5/10/2024
B
Wyoming 3/20/2023

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)
211 W MAIN ST 1ST & 2ND FLS, BOZEMAN, MT 59715
323 W PARK ST, LIVINGSTON, MT 59047
Registered with this firm since 1/31/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
211 W MAIN ST 1ST & 2ND FLS, BOZEMAN, MT 59715
323 W PARK ST, LIVINGSTON, MT 59047
Registered with this firm since 1/31/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/18/2010 - 02/07/2012 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) DENVER, CO
B
 05/17/2010 - 02/07/2012 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) DENVER, CO
IA
 03/08/2008 - 05/19/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SPOKANE, WA
B
 08/10/2007 - 05/19/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SPOKANE, WA
B
 10/21/2002 - 08/15/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) SPOKANE, WA
B
 11/05/2001 - 10/30/2002 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 04/09/1999 - 11/06/2001 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 07/14/1997 - 03/10/1999 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
 03/07/1997 - 07/14/1997 ASB FINANCIAL SERVICES (CRD#:24280) IRVINE, CA
B
 09/15/1994 - 03/07/1997 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
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.