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Detailed Report
STEVEN TODD LUNDGREN
CRD#: 2552260
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 770 TAMALPAIS DR STE 220
[NN-RBO]
CORTE MADERA, CA 94925
Registration History
19952000200520102015202020252 FIRMS2000 - 2008 (7 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - Present (10 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1996 - 2000 (4 years)BLUTHERAN BROTHERHOOD SECURITIE... (CRD# 4205)1995 - 1996 (1 year)
Disclosure(s)
View By:
4/11/2023
Customer Dispute
Denied
10/13/1999
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/19/2016
IA
New York 8/24/2022
B
California 7/18/2014
B
Oregon 7/18/2014
IA
California 7/18/2014
B
Texas 9/28/2017
B
Massachusetts 2/8/2016
IA
Texas 9/28/2017
B
Montana 1/4/2021
B
Utah 7/18/2014
B
Nevada 11/8/2017
B
Virginia 1/15/2021
B
New York 1/22/2021
B
Washington 5/16/2022

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)
770 TAMALPAIS DR STE 220 [NN-RBO], CORTE MADERA, CA 94925
767 5TH AVE 33RD FL [Y2-RBO], NEW YORK, NY 10153
Registered with this firm since 7/18/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
770 TAMALPAIS DR STE 220 [NN-RBO], CORTE MADERA, CA 94925
767 5TH AVE 33RD FL [Y2-RBO], NEW YORK, NY 10153
Registered with this firm since 7/18/2014
Previous Registration(s)
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IA
 06/01/2009 - 08/05/2014 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
B
 06/01/2009 - 08/05/2014 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
IA
 03/20/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WALNUT CREEK, CA
B
 03/20/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WALNUT CREEK, CA
IA
 08/25/2000 - 03/25/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WALNUT CREEK, CA
B
 08/24/2000 - 03/25/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WALNUT CREEK, CA
B
 06/24/1996 - 08/21/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 02/10/1995 - 06/05/1996 LUTHERAN BROTHERHOOD SECURITIES CORP. (CRD#:4205) MINNEAPOLIS, MN
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.