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Detailed Report
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2005 (4 years)2 FIRMS2011 - Present (14 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2004 - 2011 (6 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1996 - 2000 (3 years)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2005 - 2011 (6 years)
Disclosure(s)
View By:
4/13/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/7/2020
B
Nevada 1/7/2020
B
Arkansas 1/7/2020
B
New Jersey 7/26/2024
B
California 1/7/2020
B
North Carolina 12/19/2023
B
Colorado 1/3/2011
B
Oregon 7/26/2016
B
Florida 1/7/2020
B
South Carolina 1/7/2020
B
Georgia 5/9/2022
B
Texas 5/10/2013
B
Idaho 1/8/2025
IA
Texas 5/10/2013
B
Indiana 1/3/2011
B
Utah 1/3/2011
B
Montana 3/28/2016
IA
Utah 1/3/2011

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)
280 W 1500 S, BOUNTIFUL, UT 84010
299 S MAIN ST 7TH FL [MK/ME-RBO], SALT LAKE CITY, UT 84111
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
280 W 1500 S, BOUNTIFUL, UT 84010
299 S MAIN ST 7TH FL [MK/ME-RBO], SALT LAKE CITY, UT 84111
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 01/25/2005 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BOUNTIFUL, UT
B
 12/16/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BOUNTIFUL, UT
IA
 07/12/2000 - 01/11/2005 RBC DAIN RAUSCHER INC. (CRD#:31194) SALT LAKE CITY, UT
B
 05/19/2000 - 01/11/2005 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
 08/21/1996 - 06/23/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.