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Detailed Report
KIMBERLY A WARNER
KIMBERLY ANN DALONZO, KIMBERLYANN DALONZO, KIMBERLY ANN WARNER
CRD#: 2986217
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 150 N RADNOR-CHESTER RD
STE A100
WAYNE, PA 19087
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2009 - 2016 (6 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2009 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2004 - 2006 (1 year)BCREDIT SUISSE FIRST BOSTON LLC (CRD# 816)2003 - 2004 (1 year)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1999 - 2003 (3 years)IACREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2013 - 2016 (3 years)
License(s)

State Registrations

B
Pennsylvania 9/29/2016
IA
Pennsylvania 9/29/2016

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)
150 N RADNOR-CHESTER RD STE A100, WAYNE, PA 19087
BROOKHAVEN, PA
Registered with this firm since 9/29/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
150 N RADNOR-CHESTER RD STE A100, WAYNE, PA 19087
BROOKHAVEN, PA
Registered with this firm since 9/29/2016
Previous Registration(s)
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IA
 02/13/2013 - 05/11/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) WEST CONSHOHOCKEN, PA
B
 11/11/2009 - 05/11/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) WEST CONSHOHOCKEN, PA
B
 06/01/2009 - 11/23/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) BRYN MAWR, PA
B
 02/21/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BRYN MAWR, PA
B
 03/05/2004 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 01/17/2003 - 03/04/2004 CREDIT SUISSE FIRST BOSTON LLC (CRD#:816) NEW YORK, NY
B
 11/12/1999 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
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.