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Detailed Report
ELIZABETH RENE SANDOVAL
ELIZABETH RENE BROWN
CRD#: 3002334
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4141 INLAND EMPIRE BLVD
3RD FL STE 345
ONTARIO, CA 91764
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2002 (2 years)2 FIRMS2003 - 2005 (2 years)2 FIRMS2008 - 2011 (2 years)2 FIRMS2011 - Present (14 years)BLPL FINANCIAL CORPORATION (CRD# 6413)2008 - 2008 (<1 year)BIFMG SECURITIES, INC. (CRD# 14416)2007 - 2008 (<1 year)BDFC INVESTOR SERVICES (CRD# 18558)2005 - 2007 (2 years)BEQUITABLE DISTRIBUTORS, INC. (CRD# 25900)1998 - 2000 (2 years)BMONY SECURITIES CORP. (CRD# 4386)1998 - 1998 (<1 year)
Disclosure(s)
View By:
11/4/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/3/2011
B
New York 6/5/2024
B
California 1/3/2011
B
Ohio 4/14/2022
IA
California 1/3/2011
B
Oregon 4/28/2022
B
Kansas 4/25/2013
B
Tennessee 7/2/2021
B
Louisiana 4/3/2019
B
Texas 1/3/2011
B
Nevada 4/19/2016

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)
4141 INLAND EMPIRE BLVD 3RD FL STE 345, ONTARIO, CA 91764
FONTANA, CA
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4141 INLAND EMPIRE BLVD 3RD FL STE 345, ONTARIO, CA 91764
FONTANA, CA
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/06/2008 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RANCHO CUCAMONGA, CA
B
 08/06/2008 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RANCHO CUCAMONGA, CA
B
 03/04/2008 - 08/12/2008 LPL FINANCIAL CORPORATION (CRD#:6413) DIAMOND BAR, CA
B
 08/01/2007 - 03/04/2008 IFMG SECURITIES, INC. (CRD#:14416) DIAMOND BAR, CA
B
 01/25/2005 - 08/10/2007 DFC INVESTOR SERVICES (CRD#:18558) GLENDORA, CA
IA
 07/29/2003 - 02/07/2005 INVEST FINANCIAL CORPORATION (CRD#:12984) SAN BERNARDINO, CA
B
 01/02/2003 - 02/07/2005 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
B
 08/24/2000 - 12/31/2002 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
B
 09/19/2000 - 06/26/2002 JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (CRD#:40178) FRANKLIN, TN
B
 07/31/1998 - 07/17/2000 EQUITABLE DISTRIBUTORS, INC. (CRD#:25900) CHARLOTTE, NC
B
 05/01/1998 - 07/10/1998 MONY SECURITIES CORP. (CRD#:4386) NEW YORK, NY
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.