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Detailed Report
PETRA FRISINA
CRD#: 2769389
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 350 W COLORADO BLVD STE 390
[LC-RBO]
PASADENA, CA 91105
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2011 - Present (14 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2005 - 2011 (5 years)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)2003 - 2005 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2003 (<1 year)BCAL FED INVESTMENTS (CRD# 19631)1998 - 2003 (4 years)BGLENFED BROKERAGE SERVICES (CRD# 13648)1996 - 1998 (1 year)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2006 - 2011 (4 years)
Disclosure(s)
View By:
3/9/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/3/2011
B
Nevada 7/18/2024
B
California 1/3/2011
B
New York 8/28/2019
IA
California 1/3/2011
B
North Carolina 10/23/2024
B
Colorado 5/4/2022
B
Ohio 5/25/2022
B
Florida 8/11/2023
B
Oregon 7/18/2024
B
Georgia 7/18/2024
B
Pennsylvania 7/26/2021
B
Hawaii 7/18/2024
B
South Carolina 5/17/2024
B
Idaho 7/18/2024
B
Tennessee 3/11/2022
B
Indiana 7/20/2021
B
Texas 10/9/2023
B
Maryland 7/18/2024
IA
Texas 10/10/2023
B
Minnesota 7/18/2024
B
Washington 1/3/2011
B
Missouri 12/8/2021

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)
350 W COLORADO BLVD STE 390 [LC-RBO], PASADENA, CA 91105
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
350 W COLORADO BLVD STE 390 [LC-RBO], PASADENA, CA 91105
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/14/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) WEST COVINA, CA
B
 04/18/2005 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) WEST COVINA, CA
B
 09/23/2003 - 03/04/2005 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
 02/05/2003 - 09/03/2003 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 11/14/1998 - 02/05/2003 CAL FED INVESTMENTS (CRD#:19631) SACRAMENTO, CA
B
 12/05/1996 - 11/14/1998 GLENFED BROKERAGE SERVICES (CRD#:13648) GLENDALE, CA
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.