Individual Firm
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DANIEL ROY OWENS
CRD#: 2565348
IA
B
WELLS FARGO ADVISORSCRD#: 19616 3053 MERIDIAN AVE
SAN JOSE, CA 95124
SAN JOSE, CA 95124
View By:
7/28/2003
Customer Dispute
Denied
State Registrations
B
Arizona 10/14/2024
B
New Mexico 6/15/2023
B
California 1/3/2011
B
North Carolina 8/25/2022
IA
California 1/3/2011
B
Oregon 12/21/2023
B
Colorado 7/6/2017
B
Texas 12/19/2019
B
Louisiana 1/22/2020
IA
Texas 12/20/2019
B
Nevada 10/11/2016
B
Utah 3/19/2015
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/3/2011
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/29/2010 - 01/03/2011 | SAN JOSE, CA | |
B | 01/29/2010 - 01/03/2011 | SAN JOSE, CA | |
IA | 05/29/2007 - 02/11/2010 | SAN JOSE, CA | |
B | 05/29/2007 - 02/11/2010 | SAN JOSE, CA | |
IA | 01/03/2005 - 05/29/2007 | SAN JOSE, CA | |
B | 02/05/2003 - 05/29/2007 | SAN JOSE, CA | |
B | 01/31/1997 - 02/05/2003 | SACRAMENTO, CA | |
B | 03/02/1995 - 01/31/1997 | APPLETON, WI |
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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.