Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (<1 year)2 FIRMS2004 - 2024 (19 years)2 FIRMS2024 - Present (1 year)BQUICK & REILLY, INC. (CRD# 11217)2000 - 2003 (3 years)BFLEET ENTERPRISES, INC. (CRD# 17434)1999 - 2000 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1998 - 1999 (1 year)IAQUICK & REILLY, INC. (CRD# 11217)2002 - 2003 (1 year)
Disclosure(s)
View By:
5/6/2016
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 3/26/2024
B
New Jersey 3/22/2024
B
California 3/22/2024
IA
New Jersey 3/22/2024
B
Colorado 3/25/2024
B
New York 3/22/2024
B
Connecticut 3/22/2024
B
North Carolina 3/26/2024
B
Florida 3/22/2024
B
Ohio 3/22/2024
B
Georgia 3/22/2024
B
Pennsylvania 3/22/2024
B
Illinois 3/22/2024
B
South Carolina 3/22/2024
B
Indiana 3/22/2024
B
Texas 3/23/2024
B
Kansas 3/22/2024
IA
Texas 3/23/2024
B
Kentucky 3/27/2024
B
Vermont 3/22/2024
B
Maryland 3/22/2024
B
Virginia 3/22/2024
B
Massachusetts 3/25/2024
B
Washington 3/22/2024
B
Missouri 3/25/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
575 ROUTE 70, BRICK, NJ 08723
Registered with this firm since 3/22/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
575 ROUTE 70, BRICK, NJ 08723
Registered with this firm since 3/22/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/27/2004 - 03/26/2024 PNC INVESTMENTS (CRD#:129052) BRIDGEWATER, NJ
B
 04/27/2004 - 03/26/2024 PNC INVESTMENTS (CRD#:129052) BRIDGEWATER, NJ
IA
 11/20/2003 - 05/18/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) SUMMIT, NJ
B
 11/20/2003 - 05/18/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 11/21/2002 - 12/04/2003 QUICK & REILLY, INC. (CRD#:11217) SUMMIT, NJ
B
 08/07/2000 - 12/04/2003 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 11/16/1999 - 08/07/2000 FLEET ENTERPRISES, INC. (CRD#:17434) NEW YORK, NY
B
 10/30/1998 - 11/24/1999 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.