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FRANK DOUGLAS MITHUN
DOUG MITHUN, F DOUGLAS MITHUN
CRD#: 2574326
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5030 LINTON BLVD
DELRAY BEACH, FL 33484
Registration History
19952000200520102015202020252 FIRMS2018 - 2023 (5 years)2 FIRMS2023 - Present (1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2004 - 2018 (14 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2002 - 2004 (2 years)BQUICK & REILLY, INC. (CRD# 11217)2001 - 2002 (<1 year)BSOMERSET FINANCIAL GROUP, INC. (CRD# 46507)2001 - 2001 (<1 year)BPRIVATE FINANCIAL SECURITIES (CRD# 35841)2000 - 2001 (<1 year)BDAIN RAUSCHER INCORPORATED (CRD# 31194)2000 - 2000 (<1 year)BR.J. STEICHEN & COMPANY (CRD# 694)1998 - 2000 (2 years)BEVEREN SECURITIES, INC. (CRD# 19616)1998 - 1998 (<1 year)BPRINCIPAL FINANCIAL SECURITIES... (CRD# 260)1995 - 1998 (3 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2007 - 2018 (11 years)
Disclosure(s)
View By:
3/31/2014
Customer Dispute
Denied
3/10/2009
Customer Dispute
Denied
License(s)

State Registrations

B
California 7/5/2023

B
New Jersey 7/5/2023

B
Florida 7/5/2023

B
New York 7/5/2023

IA
Florida 7/6/2023

IA
New York 7/6/2023

B
Georgia 7/7/2023

B
North Carolina 7/5/2023

B
Illinois 7/7/2023

B
Utah 7/5/2023

B
Massachusetts 2/6/2025

B
Virginia 7/5/2023

B
Michigan 7/5/2023

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

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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)
5030 LINTON BLVD, DELRAY BEACH, FL 33484
14743 S MILITARY TRAIL, DELRAY BEACH, FL 33484
Registered with this firm since 7/5/2023

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5030 LINTON BLVD, DELRAY BEACH, FL 33484
14743 S MILITARY TRAIL, DELRAY BEACH, FL 33484
Registered with this firm since 7/5/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/05/2018 - 08/11/2023 TRUIST ADVISORY SERVICES, INC. (CRD#:283390) BOCA RATON, FL
B
06/28/2018 - 08/11/2023 TRUIST INVESTMENT SERVICES, INC. (CRD#:17499) DELRAY BEACH, FL
IA
03/27/2007 - 07/02/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DELRAY BEACH, FL
B
06/04/2004 - 07/02/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DELRAY BEACH, FL
B
01/24/2002 - 05/27/2004 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
08/28/2001 - 02/22/2002 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
02/01/2001 - 09/04/2001 SOMERSET FINANCIAL GROUP, INC. (CRD#:46507) PRINCETON, NJ
B
11/01/2000 - 02/01/2001 PRIVATE FINANCIAL SECURITIES (CRD#:35841)
FINRA expelled the firm on 03/02/2017
ORRVILLE, OH
B
06/23/2000 - 11/07/2000 DAIN RAUSCHER INCORPORATED (CRD#:31194) NEW YORK, NY
B
06/22/1998 - 07/06/2000 R.J. STEICHEN & COMPANY (CRD#:694) MINNEAPOLIS, MN
B
05/11/1998 - 06/16/1998 EVEREN SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
02/28/1995 - 05/11/1998 PRINCIPAL FINANCIAL SECURITIES,INC. (CRD#:260) DALLAS, TX
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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.