Individual Firm
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STEVEN ALONZO
STEVEN V ALONZO, STEVEN VINCENT ALONZO
CRD#: 2689180
IA
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WELLS FARGO ADVISORSCRD#: 19616 999 3RD AVE 40TH FL
[WH/WK-RBO]
SEATTLE, WA 98104
[WH/WK-RBO]
SEATTLE, WA 98104
View By:
2/4/2002
Customer Dispute
Denied
State Registrations
B
Alaska 3/4/2025
B
Montana 1/13/2025
B
Arizona 11/9/2023
B
Ohio 5/5/2022
B
California 9/10/2020
B
Oregon 4/18/2024
B
Connecticut 6/28/2024
B
Texas 11/8/2022
B
Idaho 9/7/2021
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Texas 11/8/2022
B
Michigan 10/4/2024
B
Washington 9/10/2020
B
Minnesota 9/7/2021
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Washington 9/10/2020
B
Missouri 10/20/2020
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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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 9/10/2020
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Registered with this firm since 9/10/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/03/2013 - 09/16/2020 | SEATTLE, WA | |
B | 04/03/2013 - 09/16/2020 | SEATTLE, WA | |
IA | 11/05/2010 - 04/01/2013 | SEATTLE, WA | |
B | 11/05/2010 - 04/01/2013 | SEATTLE, WA | |
IA | 05/02/2009 - 11/18/2010 | SEATTLE, WA | |
B | 05/02/2009 - 11/18/2010 | SEATTLE, WA | |
IA | 01/28/2002 - 05/02/2009 | SEATTLE, WA | |
B | 09/08/2000 - 05/02/2009 | SEATTLE, WA | |
B | 06/30/1999 - 07/12/2000 | SAINT PAUL, MN | |
B | 03/02/1998 - 10/02/1998 | NEW YORK, NY | |
B | 12/20/1997 - 03/02/1998 | ||
B | 07/22/1997 - 09/08/1997 | NEW YORK, NY | |
B | 09/17/1996 - 07/01/1997 | DETROIT, MI | |
B | 01/01/1996 - 08/01/1996 | BOSTON, MA | |
B | 01/01/1996 - 08/01/1996 | BOSTON, MA |
For additional information about investment advisers or broker-dealers, please visit
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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.