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Detailed Report
JOSEPH ROBERT TOBIN
CRD#: 3070365
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1200 PITTSFORD VICTOR RD STE 100
PITTSFORD, NY 14534
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2005 - 2008 (2 years)BSAGE, RUTTY & CO., INC. (CRD# 3254)2000 - 2005 (4 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1998 - 2000 (2 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2006 - 2008 (1 year)
License(s)

State Registrations

B
Alabama 1/13/2021
B
New York 1/1/2008
B
Arizona 1/13/2021
IA
New York 7/27/2021
B
California 10/14/2014
B
North Carolina 1/1/2008
B
Colorado 1/1/2008
B
Ohio 1/1/2008
B
Florida 1/1/2008
B
Oklahoma 2/23/2015
B
Georgia 1/13/2021
B
Oregon 1/1/2008
B
Illinois 7/25/2014
B
Pennsylvania 1/21/2014
B
Indiana 1/13/2021
B
Rhode Island 3/5/2025
B
Maine 1/13/2021
B
South Carolina 8/12/2014
B
Maryland 1/4/2016
B
Tennessee 1/10/2025
B
Massachusetts 1/1/2008
B
Texas 2/17/2015
B
Michigan 11/16/2016
IA
Texas 2/17/2015
IA
New Jersey 1/1/2008
B
Virginia 1/1/2008
B
New Jersey 3/1/2016
B
Wisconsin 1/13/2021

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)
1200 PITTSFORD VICTOR RD STE 100, PITTSFORD, NY 14534
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1200 PITTSFORD VICTOR RD STE 100, PITTSFORD, NY 14534
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/15/2005 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PITTSFORD, NY
IA
 03/27/2006 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PITTSFORD, NY
B
 09/15/2000 - 07/15/2005 SAGE, RUTTY & CO., INC. (CRD#:3254) ROCHESTER, NY
B
 07/29/1998 - 10/09/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, 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.