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Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 2003 (7 years)2 FIRMS2003 - 2008 (4 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - Present (5 years)
Disclosure(s)
View By:
9/11/2019
Customer Dispute
Award / Judgment
3/25/2011
Customer Dispute
Settled
9/8/2008
Customer Dispute
Denied
7/29/2008
Customer Dispute
Settled
1/11/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Arkansas 12/21/2020

B
Missouri 5/18/2023

B
California 3/11/2021

B
Montana 3/7/2024

B
Colorado 2/14/2024

B
New Mexico 7/24/2019

B
Idaho 3/5/2024

B
New York 9/15/2024

B
Illinois 11/15/2024

B
Texas 7/24/2019

B
Michigan 7/5/2024

IA
Texas 7/24/2019

B
Minnesota 9/10/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, 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)
Rockport, TX
17 COWBOYS WAY STE 500, FRISCO, TX 75034
Registered with this firm since 7/24/2019

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
Rockport, TX
17 COWBOYS WAY STE 500, FRISCO, TX 75034
Registered with this firm since 7/24/2019

Previous Registration(s)
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IA
06/01/2009 - 07/31/2019 MORGAN STANLEY (CRD#:149777) PLANO, TX
B
06/01/2009 - 07/31/2019 MORGAN STANLEY (CRD#:149777) PLANO, TX
IA
03/31/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PLANO, TX
B
03/31/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PLANO, TX
IA
06/27/2003 - 04/02/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) DALLAS, TX
B
06/27/2003 - 04/02/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) DALLAS, TX
IA
04/04/1996 - 07/07/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
03/26/1996 - 07/07/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.