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JOSEPH ANTHONY CALDARARO
JOSEPH ANTHONY CALDARARO JR
CRD#: 3036208
IA
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WELLS FARGO ADVISORSCRD#: 19616 3470 MARRON RD
OCEANSIDE, CA 92056
OCEANSIDE, CA 92056
0
Disclosures
14
Years of Experience
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State Registrations
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Arizona 8/19/2022
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California 1/5/2016
IA
California 12/24/2015
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Wyoming 11/26/2024
SRO Registrations
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Registered with this firm since 12/24/2015
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Registered with this firm since 1/4/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2011 - 09/05/2014 | DEL MAR, CA | |
B | 01/03/2011 - 09/05/2014 | DEL MAR, CA | |
IA | 09/01/2009 - 01/03/2011 | SAN DIEGO, CA | |
B | 05/04/2009 - 01/03/2011 | SAN DIEGO, CA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.