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Detailed Report
PHILIP ANTHONY UNES
PHILIP A UNES
CRD#: 2948973
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6810 N KNOXVILLE AVE
PEORIA, IL 61614
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2008 (10 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2001 - 2008 (7 years)
License(s)

State Registrations

B
Alabama 11/12/2021
B
Minnesota 10/5/2012
B
Alaska 9/29/2015
B
Missouri 1/1/2008
B
Arizona 1/1/2008
B
Montana 6/4/2024
B
Arkansas 11/8/2024
B
Nevada 12/14/2011
B
California 1/1/2008
B
New Mexico 10/29/2020
B
Colorado 1/1/2008
B
New York 1/1/2008
B
Connecticut 10/5/2017
B
North Carolina 1/1/2008
B
Delaware 8/1/2011
B
Ohio 1/1/2008
B
District of Columbia 5/10/2011
B
Oklahoma 7/10/2013
B
Florida 1/1/2008
B
Oregon 1/1/2008
B
Georgia 1/1/2008
B
Pennsylvania 4/9/2020
B
Idaho 11/20/2019
B
South Carolina 9/9/2015
B
Illinois 1/1/2008
B
Tennessee 10/3/2019
IA
Illinois 1/1/2008
B
Texas 1/1/2008
B
Indiana 1/1/2008
IA
Texas 2/10/2017
B
Iowa 1/1/2008
B
Utah 3/11/2015
B
Kansas 10/20/2011
B
Vermont 3/11/2015
B
Kentucky 11/2/2011
B
Virginia 1/1/2008
B
Louisiana 8/10/2021
B
Washington 1/1/2008
B
Maryland 3/11/2015
B
West Virginia 4/2/2024
B
Massachusetts 1/1/2008
B
Wisconsin 1/1/2008
B
Michigan 2/12/2016

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)
6810 N KNOXVILLE AVE, PEORIA, IL 61614
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6810 N KNOXVILLE AVE, PEORIA, IL 61614
Registered with this firm since 1/1/2008
Previous Registration(s)
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B
 11/10/1997 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PEORIA, IL
IA
 01/05/2001 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PEORIA, IL
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.