• 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.
Registration History
19952000200520102015202020252 FIRMS1995 - 2009 (14 years)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - Present (5 years)
Disclosure(s)
View By:
1/18/2002
Customer Dispute
Denied
1/18/2001
Customer Dispute
Denied
7/6/1999
Customer Dispute
Denied
12/1/1997
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 3/5/2024

B
New Jersey 8/16/2019

B
Colorado 8/16/2019

B
North Carolina 8/16/2019

B
Connecticut 8/16/2019

B
Rhode Island 8/16/2019

IA
Connecticut 8/16/2019

B
South Carolina 8/22/2019

B
Florida 8/16/2019

B
Tennessee 8/16/2019

B
Georgia 8/16/2019

B
Washington 8/16/2019

B
Massachusetts 8/22/2019

B
Wisconsin 4/16/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, 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)
8 TWO MILE RD 1ST FL, FARMINGTON, CT 06032
Registered with this firm since 8/16/2019

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
8 TWO MILE RD 1ST FL, FARMINGTON, CT 06032
Registered with this firm since 8/16/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 08/19/2019 MORGAN STANLEY (CRD#:149777) WEST HARTFORD, CT
B
06/01/2009 - 08/19/2019 MORGAN STANLEY (CRD#:149777) WEST HARTFORD, CT
IA
04/04/1995 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WEST HARTFORD, CT
B
02/14/1995 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WEST HARTFORD, CT
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.