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MARK GEORGE SCHLIG
CRD#: 2975568
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 500 SILVER SPUR RD
3RD FL STE 300
ROLLING HILLS ESTATES, CA 90275
Registration History
1985199019952000200520102015202020252 FIRMS2001 - 2008 (6 years)2 FIRMS2008 - 2020 (12 years)2 FIRMS2020 - Present (4 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2008 - 2008 (<1 year)BUBS PAINEWEBBER INC. (CRD# 8174)1999 - 2001 (2 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 1999 (2 years)
Disclosure(s)
View By:
6/12/2009
Customer Dispute
Denied
5/2/2003
Customer Dispute
Settled
7/31/2002
Customer Dispute
Settled
5/2/2002
Customer Dispute
Settled
11/9/2001
Employment Separation After Allegations
10/1/2001
Customer Dispute
Settled
6/30/2000
Customer Dispute
Settled
6/14/2000
Customer Dispute
Settled
9/9/1981
Criminal
Final Disposition
License(s)

State Registrations

B
California 5/29/2020

B
Nevada 6/11/2020

IA
California 5/29/2020

B
New York 5/29/2020

B
Colorado 2/17/2022

B
North Carolina 6/9/2020

B
Connecticut 5/29/2020

B
Texas 5/29/2020

B
Florida 6/1/2020

IA
Texas 5/29/2020

B
Missouri 1/14/2021

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, 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)
500 SILVER SPUR RD 3RD FL STE 300, ROLLING HILLS ESTATES, CA 90275
REDONDO BEACH, CA
Registered with this firm since 5/29/2020

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
500 SILVER SPUR RD 3RD FL STE 300, ROLLING HILLS ESTATES, CA 90275
REDONDO BEACH, CA
Registered with this firm since 5/29/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/23/2008 - 06/05/2020 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ROLLING HILLS ESTATES, CA
B
01/18/2008 - 06/05/2020 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ROLLING HILLS ESTATES, CA
IA
12/10/2001 - 01/22/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) TORRANCE, CA
B
01/01/2008 - 01/22/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) TORRANCE, CA
B
12/05/2001 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) TORRANCE, CA
B
11/12/1999 - 11/23/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
12/15/1997 - 12/08/1999 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.