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Registration History
199820002002200420062008201020122014201620182020202220242 FIRMS2006 - Present (18 years)BSUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2001 - 2006 (5 years)BUVEST INVESTMENT SERVICES (CRD# 13787)2000 - 2001 (1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 2000 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1997 - 1999 (1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2002 - 2006 (3 years)
Disclosure(s)
View By:
1/9/2018
Judgment / Lien
10/26/2017
Judgment / Lien
11/10/2016
Judgment / Lien
License(s)

State Registrations

B
Alabama 5/15/2008

B
New Jersey 7/22/2010

B
California 8/1/2007

B
New York 3/30/2015

B
District of Columbia 9/7/2006

B
North Carolina 9/7/2006

B
Florida 9/7/2006

IA
North Carolina 1/26/2022

B
Georgia 1/22/2024

B
Ohio 10/12/2007

B
Louisiana 3/4/2010

B
Pennsylvania 9/7/2006

B
Maryland 9/7/2006

B
Texas 9/18/2007

IA
Maryland 9/7/2006

B
Virginia 9/7/2006

B
Massachusetts 11/2/2015

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)
110 TURNBERRY WAY, PINEHURST, NC 28374
230 SCHILLING CIRCLE [VY-RBO], HUNT VALLEY, MD 21031
Registered with this firm since 9/7/2006

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
110 TURNBERRY WAY, PINEHURST, NC 28374
230 SCHILLING CIRCLE [VY-RBO], HUNT VALLEY, MD 21031
Registered with this firm since 9/7/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/31/2002 - 09/07/2006 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) LAUREL, MD
B
05/04/2001 - 09/07/2006 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) LAUREL, MD
B
01/12/2000 - 04/11/2001 UVEST INVESTMENT SERVICES (CRD#:13787) CHARLOTTE, NC
B
04/01/1999 - 01/07/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
09/03/1997 - 01/04/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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B
Broker
IA
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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.