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DANIEL PATRICK MINGO
DAN MINGO
CRD#: 2671019
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 23467 NE NOVELTY HILL RD
REDMOND, WA 98053
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2014 (6 years)2 FIRMS2014 - Present (10 years)BPIPER JAFFRAY & CO. (CRD# 665)2000 - 2006 (5 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)1995 - 2000 (5 years)IAPIPER JAFFRAY & CO. (CRD# 665)2001 - 2006 (4 years)
Disclosure(s)
View By:
3/30/2006
Employment Separation After Allegations
9/14/2000
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/30/2025

B
Tennessee 11/9/2023

B
California 10/31/2022

B
Virginia 7/25/2018

B
Idaho 1/20/2023

B
Washington 9/23/2014

B
Montana 9/22/2014

IA
Washington 9/23/2014

B
South Carolina 10/18/2021

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)
23467 NE NOVELTY HILL RD, REDMOND, WA 98053
Registered with this firm since 9/23/2014

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
23467 NE NOVELTY HILL RD, REDMOND, WA 98053
Registered with this firm since 9/19/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/23/2008 - 09/23/2014 OPPENHEIMER & CO. INC. (CRD#:249) BELLEVUE, WA
B
06/23/2008 - 09/23/2014 OPPENHEIMER & CO. INC. (CRD#:249) BELLEVUE, WA
IA
05/05/2006 - 06/24/2008 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) BELLEVUE, WA
B
05/05/2006 - 06/24/2008 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) BELLEVUE, WA
IA
05/17/2001 - 04/28/2006 PIPER JAFFRAY & CO. (CRD#:665) EVERETT, WA
B
11/03/2000 - 04/28/2006 PIPER JAFFRAY & CO. (CRD#:665) EVERETT, WA
B
11/01/1995 - 11/06/2000 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
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B
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.