Individual Firm
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STEVE BRUCE DURMAN
STEFAN DURMAN, STEVE B DURMAN, STEVEN BRUCE DURMAN, STEVEN DURMAN
CRD#: 2507978
IA
B
WELLS FARGO ADVISORSCRD#: 19616 211 W MAIN ST 1ST & 2ND FLS
BOZEMAN, MT 59715
BOZEMAN, MT 59715
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1/27/2021
Customer Dispute
Denied
8/10/2016
Customer Dispute
Denied
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
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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
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 1/31/2012
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Registered with this firm since 1/31/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/18/2010 - 02/07/2012 | DENVER, CO | |
B | 05/17/2010 - 02/07/2012 | DENVER, CO | |
IA | 03/08/2008 - 05/19/2010 | SPOKANE, WA | |
B | 08/10/2007 - 05/19/2010 | SPOKANE, WA | |
B | 10/21/2002 - 08/15/2007 | SPOKANE, WA | |
B | 11/05/2001 - 10/30/2002 | NEW YORK, NY | |
B | 04/09/1999 - 11/06/2001 | ST. LOUIS, MO | |
B | 07/14/1997 - 03/10/1999 | IRVINE, CA | |
B | 03/07/1997 - 07/14/1997 | IRVINE, CA | |
B | 09/15/1994 - 03/07/1997 | NORTHRIDGE, CA |
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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.