• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2009 (9 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2000 (<1 year)
Disclosure(s)
View By:
11/7/2008
Customer Dispute
Settled
9/2/1998
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 9/27/2024

B
Nevada 1/19/2021

B
Arizona 3/2/2015

B
New Jersey 9/27/2012

B
California 9/27/2012

B
New York 9/29/2024

IA
California 10/1/2012

B
North Carolina 9/27/2024

B
Colorado 9/27/2024

B
Ohio 11/15/2024

B
Connecticut 9/27/2024

B
Oregon 6/10/2024

B
Delaware 1/7/2022

B
Tennessee 1/7/2021

B
District of Columbia 11/20/2024

IA
Texas 3/12/2013

B
Florida 9/27/2012

B
Texas 4/9/2013

B
Georgia 1/6/2021

B
Utah 9/27/2024

B
Hawaii 2/10/2015

B
Virginia 1/6/2021

B
Idaho 9/27/2024

B
Washington 1/5/2021

B
Massachusetts 10/2/2024

B
Wisconsin 9/27/2012

B
Missouri 11/15/2022

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)
301 UNIVERSITY AVE 2ND FL, PALO ALTO, CA 94301
Registered with this firm since 10/1/2012

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
301 UNIVERSITY AVE 2ND FL, PALO ALTO, CA 94301
Registered with this firm since 9/27/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 10/17/2012 MORGAN STANLEY (CRD#:149777) PALO ALTO, CA
B
06/01/2009 - 10/17/2012 MORGAN STANLEY (CRD#:149777) PALO ALTO, CA
IA
08/01/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PALO ALTO, CA
B
02/14/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PALO ALTO, CA
B
05/20/1999 - 02/15/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.