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Detailed Report
PAUL ANTHONY SWOPE
CRD#: 2920132
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 ONE NORTH JEFFERSON AVENUE
MAIL CODE: H0004-05E
ST. LOUIS, MO 63103-2205
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLCCRD#: 11025 ONE NORTH JEFFERSON AVENUE
H0004-05C
ST. LOUIS, MO 63103
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2002 (3 years)2 FIRMS2002 - 2004 (2 years)2 FIRMS2004 - 2016 (11 years)IAWELLS FARGO ADVISORS (CRD# 19616)2018 - Present (7 years)BWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2024 - Present (1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - Present (8 years)BFIRST CLEARING, LLC (CRD# 17344)2016 - 2016 (<1 year)BINVESTMENT CENTERS OF AMERICA,... (CRD# 16443)1999 - 2000 (1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)1998 - 1998 (<1 year)
License(s)

State Registrations

B
Missouri 11/11/2016
IA
Rhode Island 3/13/2018

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103-2205
Registered with this firm since 3/13/2018
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
ONE NORTH JEFFERSON AVENUE H0004-05C, ST. LOUIS, MO 63103
Registered with this firm since 4/17/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103
Registered with this firm since 11/11/2016
Previous Registration(s)
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B
 04/21/2016 - 11/11/2016 FIRST CLEARING, LLC (CRD#:17344) ST. LOUIS, MO
IA
 11/19/2004 - 04/21/2016 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) ST. LOUIS, MO
B
 11/19/2004 - 04/21/2016 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) ST. LOUIS, MO
IA
 10/29/2002 - 11/26/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) TAMPA, FL
B
 10/17/2002 - 11/26/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 01/07/1999 - 10/08/2002 INVEST FINANCIAL CORPORATION (CRD#:12984) TAMPA, FL
B
 01/01/1999 - 10/08/2002 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
B
 01/01/1999 - 12/31/2000 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) APPLETON, WI
B
 05/26/1998 - 12/23/1998 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
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.