Individual Firm
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ALLEN CHENG TSAI
CRD#: 2705505
IA
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WELLS FARGO ADVISORSCRD#: 19616 4850 BARRANCA PKWY
IRVINE, CA 92604
IRVINE, CA 92604
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1/30/2008
Customer Dispute
Closed-No Action
1/25/2008
Customer Dispute
Denied
State Registrations
B
Arizona 7/22/2015
B
Oregon 1/6/2012
B
California 1/3/2011
B
South Carolina 5/24/2023
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California 1/3/2011
B
South Dakota 3/5/2020
B
Connecticut 12/16/2020
B
Texas 1/9/2014
B
Delaware 12/19/2024
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Texas 1/10/2014
B
Florida 4/24/2024
B
Utah 8/30/2023
B
Georgia 11/8/2018
B
Virginia 1/11/2013
B
Nevada 1/3/2011
B
Washington 9/15/2016
B
New York 1/3/2011
B
Wisconsin 6/2/2015
SRO Registrations
B
B
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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 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/04/2009 - 01/03/2011 | NEWPORT BEACH, CA | |
B | 11/03/2009 - 01/03/2011 | NEWPORT BEACH, CA | |
IA | 05/02/2009 - 11/02/2009 | IRVINE, CA | |
B | 05/02/2009 - 11/02/2009 | IRVINE, CA | |
IA | 12/18/2006 - 05/02/2009 | IRVINE, CA | |
B | 12/06/2004 - 05/02/2009 | IRVINE, CA | |
B | 11/08/2004 - 11/11/2004 | LONG ISLAND CITY, NY | |
B | 04/29/2004 - 08/09/2004 | PURCHASE, NY | |
B | 09/06/2002 - 03/01/2004 | IRVINE, CA | |
B | 11/25/1996 - 09/23/2002 | OAK PARK, IL | |
B | 03/18/1996 - 11/01/1996 | BALTIMORE, MD |
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.