Individual Firm
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CHARLES MICHAEL COLLINS
CRD#: 2557008
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1000 HART RD STE 105
BARRINGTON, IL 60010
BARRINGTON, IL 60010
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8/13/2012
Customer Dispute
Denied
1/21/2003
Customer Dispute
Denied
State Registrations
B
Alaska 11/13/2020
B
Nebraska 4/28/2022
B
Arizona 5/20/2016
B
Nevada 2/6/2020
IA
Arizona 2/8/2021
B
New Jersey 11/22/2019
B
California 5/20/2016
B
New Mexico 7/29/2021
B
Colorado 5/20/2016
B
New York 11/22/2019
B
Delaware 11/22/2019
B
North Carolina 11/15/2019
B
Florida 7/7/2016
B
Ohio 11/24/2019
B
Georgia 7/12/2016
B
Oregon 2/25/2021
B
Idaho 11/6/2024
B
Pennsylvania 5/20/2016
B
Illinois 5/20/2016
B
Rhode Island 8/14/2023
IA
Illinois 5/20/2016
B
South Carolina 11/22/2019
B
Indiana 5/20/2016
B
Tennessee 9/16/2019
B
Iowa 4/27/2022
B
Texas 6/20/2018
B
Maine 9/30/2021
IA
Texas 6/20/2018
B
Maryland 4/5/2018
B
Utah 5/7/2024
B
Massachusetts 5/20/2016
B
Virginia 9/30/2021
B
Michigan 11/22/2019
B
Washington 5/20/2016
B
Minnesota 5/20/2016
B
Wisconsin 5/20/2016
B
Missouri 5/20/2016
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/20/2016
B
Registered with this firm since 5/20/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 06/16/2016 | PHOENIX, AZ | |
B | 06/01/2009 - 06/16/2016 | PHOENIX, AZ | |
B | 11/14/2003 - 06/01/2009 | PHOENIX, AZ | |
IA | 11/18/2002 - 11/17/2003 | PHOENIX, AZ | |
B | 02/06/1997 - 11/17/2003 | PURCHASE, NY | |
B | 11/01/1994 - 01/22/1997 | NEWARK, NJ |
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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.