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Detailed Report
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2014 (2 years)BDLJDIRECT INC. (CRD# 42159)1997 - 1997 (<1 year)BM.S. FARRELL & COMPANY, INC. (CRD# 24232)1996 - 1997 (<1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2012 - 2014 (2 years)
Disclosure(s)
View By:
3/11/2024
Customer Dispute
Settled
9/22/2023
Customer Dispute
Denied
6/21/2022
Customer Dispute
Denied
License(s)

State Registrations

B
California 10/2/2014
IA
New Jersey 10/6/2014
B
Colorado 10/30/2020
B
New York 10/2/2014
B
Connecticut 10/2/2014
B
Pennsylvania 10/7/2014
B
Florida 10/7/2014
B
Puerto Rico 5/18/2020
B
Georgia 11/28/2018
B
Rhode Island 8/16/2024
B
Illinois 12/9/2020
B
South Carolina 10/7/2014
B
Louisiana 10/1/2019
B
Texas 7/9/2015
B
Maryland 1/10/2025
IA
Texas 7/15/2015
B
New Jersey 10/2/2014

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, 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
J.P. MORGAN SECURITIES LLC (CRD#:79)
115 COUNTY RD, TENAFLY, NJ 07670
Registered with this firm since 10/6/2014
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J.P. MORGAN SECURITIES LLC (CRD#:79)
115 COUNTY RD, TENAFLY, NJ 07670
Registered with this firm since 10/2/2014
Previous Registration(s)
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IA
 01/30/2012 - 10/06/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) PARAMUS, NJ
B
 11/28/2011 - 10/06/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) PARAMUS, NJ
B
 06/19/1997 - 10/08/1997 DLJDIRECT INC. (CRD#:42159) JERSEY CITY, NJ
B
 10/24/1996 - 06/19/1997 M.S. FARRELL & COMPANY, INC. (CRD#:24232) SYOSSET, 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.