Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DAKOTA SUNSERI
DAKOTA DOMINIC SUNSERI
CRD#: 2930637
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 433 N CAMDEN DR 9TH FL
BEVERLY HILLS, CA 90210
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2015 (17 years)2 FIRMS2015 - Present (10 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1997 - 2006 (8 years)
Disclosure(s)
View By:
10/5/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 4/16/2025
B
Nevada 11/6/2023
B
California 1/22/2015
B
New Jersey 1/22/2015
IA
California 1/22/2015
B
New York 1/22/2015
B
Florida 1/22/2015
B
Pennsylvania 1/22/2015
B
Georgia 1/22/2015
B
Texas 2/3/2023
B
Maine 1/22/2015
B
Vermont 1/22/2015
B
Massachusetts 1/22/2015
B
Virginia 3/12/2025

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)
433 N CAMDEN DR 9TH FL, BEVERLY HILLS, CA 90210
LOS ANGELES, CA
Registered with this firm since 1/22/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
433 N CAMDEN DR 9TH FL, BEVERLY HILLS, CA 90210
LOS ANGELES, CA
Registered with this firm since 1/22/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/15/1997 - 02/06/2015 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LOS ANGELES, CA
B
 08/28/1997 - 02/06/2015 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LOS ANGELES, CA
B
 08/28/1997 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.