Individual Firm
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WILLIAM NORMAN DOAN JR
BILL DOAN JR
CRD#: 3063269
IA
B
WELLS FARGO ADVISORSCRD#: 11025 2901 OHIO BLVD
STE 154
TERRE HAUTE, IN 47803
STE 154
TERRE HAUTE, IN 47803
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8/18/2021
Customer Dispute
Denied
State Registrations
B
Indiana 1/20/2021
B
North Carolina 7/30/2021
IA
Indiana 1/20/2021
SRO Registrations
B
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IA
Registered with this firm since 1/20/2021
B
Registered with this firm since 1/20/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/30/2009 - 03/17/2020 | TERRE HAUTE, IN | |
B | 11/30/2009 - 03/17/2020 | TERRE HAUTE, IN | |
IA | 11/30/2005 - 12/01/2009 | TERRE HAUTE, IN | |
B | 11/30/2005 - 12/01/2009 | TERRE HAUTE, IN | |
IA | 08/12/2002 - 12/01/2005 | TERRE HAUTE, IN | |
B | 03/05/2002 - 12/01/2005 | EVANSVILLE, IN | |
B | 10/08/1999 - 11/20/2001 | NEW YORK, NY | |
B | 07/13/1998 - 10/11/1999 | ST. LOUIS, MO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.