Individual Firm
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BRIAN STEVEN GRAHEK
CRD#: 2722588
IA
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WELLS FARGO ADVISORSCRD#: 11025 701 LAKE STREET E STE 200
[SATELLITE]
WAYZATA, MN 55391
[SATELLITE]
WAYZATA, MN 55391
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2/16/2010
Customer Dispute
Settled
State Registrations
B
Arizona 11/9/2018
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Minnesota 11/13/2018
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California 11/9/2018
B
New Jersey 11/9/2018
B
Colorado 11/9/2018
B
New York 11/9/2018
B
Connecticut 11/9/2018
B
Ohio 11/9/2018
B
Florida 11/9/2018
B
South Dakota 11/9/2018
B
Maryland 5/25/2023
B
Utah 11/9/2018
B
Massachusetts 11/9/2018
B
Washington 11/9/2018
B
Minnesota 11/13/2018
B
Wisconsin 11/9/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 11/9/2018
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Registered with this firm since 11/9/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/02/2009 - 11/12/2018 | WAYZATA, MN | |
B | 01/16/2009 - 11/12/2018 | WAYZATA, MN | |
B | 10/17/2003 - 01/27/2009 | WAYZATA, MN | |
IA | 09/22/1998 - 11/17/2003 | WAYZATA, MN | |
B | 05/11/1998 - 11/17/2003 | ST. LOUIS, MO | |
B | 03/29/1996 - 05/11/1998 | DALLAS, TX |
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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.