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Detailed Report
ALAN KENNETH GROSS
CRD#: 2832306
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10825 ALPHARETTA HWY 1ST FL
ROSWELL, GA 30076
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - Present (22 years)BQUICK & REILLY, INC. (CRD# 11217)1998 - 2003 (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 1998 (1 year)
Disclosure(s)
View By:
5/29/2024
Customer Dispute
Denied
5/13/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/9/2003
B
Missouri 8/24/2018
B
Arizona 7/19/2018
B
Montana 5/18/2021
B
California 8/7/2012
B
Nevada 1/23/2020
B
Colorado 1/19/2018
B
New Jersey 4/19/2021
B
Connecticut 4/26/2019
B
New York 8/24/2018
B
District of Columbia 11/9/2017
B
North Carolina 1/9/2003
B
Florida 1/9/2003
B
Ohio 1/5/2016
B
Georgia 1/9/2003
B
Oregon 3/11/2003
IA
Georgia 4/22/2003
B
Pennsylvania 11/9/2009
B
Hawaii 7/2/2019
B
South Carolina 1/9/2003
B
Kansas 12/3/2020
B
Tennessee 7/16/2013
B
Kentucky 11/23/2022
B
Texas 8/24/2018
B
Maine 7/11/2023
IA
Texas 8/26/2018
B
Maryland 12/4/2020
B
Utah 1/10/2019
B
Massachusetts 2/16/2022
B
Virginia 9/12/2022
B
Michigan 6/27/2024
B
Washington 3/26/2025
B
Mississippi 11/28/2017

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)
10825 ALPHARETTA HWY 1ST FL, ROSWELL, GA 30076
Registered with this firm since 4/22/2003
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10825 ALPHARETTA HWY 1ST FL, ROSWELL, GA 30076
Registered with this firm since 1/9/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/08/1998 - 01/17/2003 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 01/14/1997 - 04/14/1998 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, 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.