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Detailed Report
GARY JOSEPH SWARTZ
CRD#: 2650844
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 672 S. RIVER ST
STE 300
PLAINS, PA 18705
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2013 - Present (11 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - Present (16 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2008 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)1995 - 2007 (11 years)
Disclosure(s)
View By:
7/30/2010
Customer Dispute
Settled
License(s)

State Registrations

B
Arkansas 10/21/2020
B
Nevada 3/20/2023
B
California 3/14/2022
B
New Hampshire 3/20/2023
B
Colorado 11/25/2009
B
New Jersey 6/27/2008
B
Connecticut 3/20/2023
B
New York 6/27/2008
B
Delaware 3/20/2023
B
North Carolina 11/19/2020
B
District of Columbia 8/3/2022
B
Ohio 10/21/2014
B
Florida 6/27/2008
B
Oregon 6/23/2020
B
Georgia 2/1/2022
B
Pennsylvania 6/30/2008
B
Illinois 9/14/2010
IA
Pennsylvania 8/25/2016
B
Indiana 6/28/2024
B
Rhode Island 6/7/2024
B
Kentucky 3/6/2025
B
South Carolina 3/10/2010
B
Maryland 3/20/2023
B
Tennessee 6/27/2008
B
Massachusetts 6/27/2008
B
Texas 4/22/2013
B
Michigan 3/6/2025
IA
Texas 5/10/2013
B
Minnesota 3/20/2023
B
Utah 7/16/2018
B
Mississippi 2/22/2023
B
Virginia 3/20/2023
B
Missouri 3/20/2023
B
Washington 3/20/2023
B
Montana 3/20/2023
B
Wisconsin 3/20/2023

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)
672 S. RIVER ST STE 300, PLAINS, PA 18705
672 S RIVER ST STE 300 [BP-RBO], WILKES BARRE (PLAINS), PA 18705
Registered with this firm since 5/10/2013
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
672 S. RIVER ST STE 300, PLAINS, PA 18705
672 S RIVER ST STE 300 [BP-RBO], WILKES BARRE (PLAINS), PA 18705
Registered with this firm since 6/27/2008
Previous Registration(s)
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B
 04/02/2007 - 06/30/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SCRANTON, PA
B
 10/10/1995 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SCRANTON, PA
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.