Individual Firm
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SCOTT STEPHEN
SCOTT ANDREW STEPHEN
CRD#: 2514831
IA
B
WELLS FARGO ADVISORSCRD#: 11025 33 WOOD AVENUE SOUTH 7TH FL 730
[SATELLITE]
ISELIN, NJ 08830
[SATELLITE]
ISELIN, NJ 08830
View By:
12/19/2001
Customer Dispute
Denied
State Registrations
B
California 3/3/2025
B
Minnesota 3/3/2025
B
Colorado 3/3/2025
B
Missouri 3/3/2025
B
Connecticut 3/3/2025
B
New Jersey 3/3/2025
B
Delaware 3/3/2025
IA
New Jersey 3/4/2025
B
District of Columbia 3/3/2025
B
New York 3/3/2025
B
Florida 3/3/2025
B
North Carolina 3/3/2025
B
Hawaii 3/3/2025
B
Ohio 3/3/2025
B
Indiana 3/3/2025
B
Pennsylvania 3/3/2025
B
Louisiana 3/3/2025
B
South Carolina 3/3/2025
B
Maine 3/3/2025
B
Tennessee 3/3/2025
B
Maryland 3/3/2025
B
Virginia 3/3/2025
B
Massachusetts 3/4/2025
B
Wisconsin 3/3/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/4/2025
B
Registered with this firm since 3/3/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/06/2004 - 03/03/2025 | SUMMIT, NJ | |
B | 11/29/2001 - 03/03/2025 | SUMMIT, NJ | |
B | 08/19/1997 - 11/09/2001 | NEW YORK, NY | |
B | 07/18/1994 - 08/08/1997 | NEW YORK, NY |
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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.