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Detailed Report
RAQUEL NALO
CRD#: 2779698
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 732 KENNESAW AVE NW
STE 300
MARIETTA, GA 30060
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2010 (1 year)2 FIRMS2012 - 2018 (6 years)2 FIRMS2018 - 2022 (4 years)2 FIRMS2022 - Present (2 years)BWALNUT STREET SECURITIES, INC. (CRD# 15840)2010 - 2011 (1 year)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2009 - 2009 (<1 year)BGOLDMAN, SACHS & CO. (CRD# 361)2008 - 2008 (<1 year)IAPROVENANCE WEALTH ADVISORS (CRD# 126529)2011 - 2011 (<1 year)
License(s)

State Registrations

B
Alabama 11/22/2022
B
Mississippi 2/15/2023
B
Arizona 11/22/2022
B
New Jersey 11/22/2022
B
California 11/22/2022
B
New York 3/20/2023
B
Colorado 11/22/2022
B
North Carolina 11/22/2022
B
Delaware 11/22/2022
B
Ohio 11/22/2022
B
District of Columbia 2/15/2023
B
Oregon 11/25/2024
B
Florida 11/22/2022
B
Pennsylvania 11/22/2022
B
Georgia 11/22/2022
B
Puerto Rico 11/22/2022
IA
Georgia 11/28/2022
B
South Carolina 11/22/2022
B
Idaho 11/22/2022
B
Tennessee 11/22/2022
B
Illinois 3/20/2023
B
Texas 11/22/2022
B
Kentucky 11/22/2022
IA
Texas 11/22/2022
B
Louisiana 11/22/2022
B
Utah 11/22/2022
B
Maryland 11/22/2022
B
Virginia 11/22/2022
B
Massachusetts 11/22/2022
B
Washington 11/22/2022
B
Michigan 11/22/2022
B
Wisconsin 11/22/2022

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)
732 KENNESAW AVE NW STE 300, MARIETTA, GA 30060
Registered with this firm since 11/22/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
732 KENNESAW AVE NW STE 300, MARIETTA, GA 30060
Registered with this firm since 11/22/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/01/2018 - 11/30/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ATLANTA, GA
B
 02/01/2018 - 11/30/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ATLANTA, GA
IA
 02/06/2012 - 01/12/2018 MORGAN STANLEY (CRD#:149777) ATLANTA, GA
B
 01/18/2012 - 01/12/2018 MORGAN STANLEY (CRD#:149777) ATLANTA, GA
B
 11/12/2010 - 12/05/2011 WALNUT STREET SECURITIES, INC. (CRD#:15840) FORT LAUDERDALE, FL
IA
 03/14/2011 - 11/22/2011 PROVENANCE WEALTH ADVISORS (CRD#:126529) FORT LAUDERDALE, FL
IA
 11/09/2009 - 10/14/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) AVENTURA, FL
B
 06/01/2009 - 10/14/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) AVENTURA, FL
B
 02/02/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AVENTURA, FL
B
 10/15/2008 - 12/31/2008 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
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.