• 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.
BETH SUSAN OAKES
BETH S CAMPBELL, BETH SUSAN LINGLE, BETH S NUNNERY
CRD#: 3111359
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 ONE NORTH JEFFERSON AVENUE
MAIL CODE: H0004-05E
ST. LOUIS, MO 63103-2205
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2001 (<1 year)2 FIRMS2010 - 2010 (<1 year)2 FIRMS2012 - Present (12 years)BSAXONY SECURITIES, INC. (CRD# 115547)2002 - 2004 (2 years)BEISNER SECURITIES, INC. (CRD# 40585)1999 - 2001 (2 years)IASAXONY CAPITAL MANAGEMENT, LLC (CRD# 122692)2003 - 2004 (1 year)
Disclosure(s)
View By:
4/2/2018
Judgment / Lien
License(s)

State Registrations

IA
Missouri 9/18/2012

B
Missouri 10/30/2012

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)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103-2205
Registered with this firm since 9/18/2012

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103
Registered with this firm since 10/30/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/12/2010 - 11/18/2010 MONETA GROUP INVESTMENT ADVISORS, LLC (CRD#:104727) CLAYTON, MO
B
04/06/2010 - 11/12/2010 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) CLAYTON, MO
IA
04/21/2003 - 12/16/2004 SAXONY CAPITAL MANAGEMENT, LLC (CRD#:122692) ST. LOUIS, MO
B
02/13/2002 - 12/16/2004 SAXONY SECURITIES, INC. (CRD#:115547) ST. LOUIS, MO
B
10/05/2001 - 11/23/2001 LASALLE ST SECURITIES, L.L.C. (CRD#:7191) ELMHURST, IL
B
03/10/1999 - 11/01/2001 EISNER SECURITIES, INC. (CRD#:40585) ST. LOUIS, MO
B
09/29/2001 - 10/03/2001 LASALLE ST SECURITIES, L.L.C. (CRD#:7191) ELMHURST, IL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.