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Detailed Report
FRANK PAUL HELLRIEGEL
CRD#: 2591141
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 857 ROUTE 35
MIDDLETOWN, NJ 07748
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - 2018 (9 years)2 FIRMS2018 - Present (7 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2005 (8 years)BSMITH BARNEY INC. (CRD# 7059)1995 - 1997 (1 year)IAMORGAN STANLEY (CRD# 7556)2002 - 2005 (3 years)
Disclosure(s)
View By:
3/25/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Florida 4/6/2018
B
New York 2/5/2020
B
Minnesota 4/6/2018
IA
Texas 6/28/2019
IA
New Jersey 4/6/2018
B
Texas 6/29/2019
B
New Jersey 4/9/2018

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)
857 ROUTE 35, MIDDLETOWN, NJ 07748
Registered with this firm since 4/6/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
857 ROUTE 35, MIDDLETOWN, NJ 07748
Registered with this firm since 4/6/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/05/2009 - 04/17/2018 PNC INVESTMENTS (CRD#:129052) RED BANK, NJ
B
 02/02/2009 - 04/17/2018 PNC INVESTMENTS (CRD#:129052) RED BANK, NJ
IA
 08/22/2005 - 01/30/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) LAKEWOOD, NJ
B
 08/22/2005 - 01/30/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) LAKEWOOD, NJ
IA
 06/14/2002 - 08/17/2005 MORGAN STANLEY (CRD#:7556) MORRISTOWN, NJ
B
 04/25/1997 - 08/17/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 12/14/1995 - 05/01/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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.