Individual Firm
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SALLY ETTA REAGAN
SALLY REAGAN
CRD#: 2639923
IA
B
WELLS FARGO ADVISORSCRD#: 19616 2500 WESTCHESTER AVE STES 201 & 203
PURCHASE, NY 10577
PURCHASE, NY 10577
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7/19/2002
Customer Dispute
Closed-No Action
State Registrations
B
California 7/14/2016
IA
New York 8/9/2023
B
Colorado 3/14/2019
B
Ohio 7/19/2017
IA
Connecticut 5/31/2013
B
Oregon 7/23/2019
B
Connecticut 6/6/2013
B
Pennsylvania 3/4/2020
B
Florida 8/8/2013
B
Rhode Island 1/14/2025
B
Georgia 2/25/2021
B
South Carolina 2/7/2020
B
Kentucky 11/13/2014
B
Texas 7/22/2020
B
Maine 6/5/2015
IA
Texas 7/23/2020
B
Maryland 8/20/2013
B
Virginia 1/2/2015
B
Massachusetts 8/11/2017
B
Washington 4/20/2021
B
New Hampshire 4/17/2014
B
Wisconsin 10/25/2021
B
New York 8/8/2013
B
Wyoming 1/4/2021
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 5/31/2013
B
Registered with this firm since 6/6/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/22/2010 - 12/21/2011 | COS COB, CT | |
B | 02/22/2010 - 12/21/2011 | COS COB, CT | |
IA | 11/17/1995 - 02/09/2010 | STAMFORD, CT | |
B | 09/22/1995 - 02/09/2010 | STAMFORD, CT |
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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.