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DAWN PFIRMAN
DAWN PARENT, DAWN JEAN PFIRMAN
CRD#: 3114336
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 7000 LINCOLN DR E STE 301
MARLTON, NJ 08053
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2000 - 2021 (20 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1998 - 2000 (2 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2007 - 2021 (14 years)
License(s)

State Registrations

B
Alabama 7/29/2022

B
Nevada 7/29/2022

B
Alaska 7/29/2022

B
New Hampshire 7/29/2022

B
Arizona 7/29/2022

B
New Jersey 7/29/2022

B
Arkansas 7/29/2022

IA
New Jersey 8/15/2022

B
California 7/29/2022

B
New Mexico 7/29/2022

B
Colorado 7/29/2022

B
New York 7/29/2022

B
Connecticut 7/29/2022

IA
New York 8/17/2022

B
Delaware 7/29/2022

B
North Carolina 7/29/2022

B
District of Columbia 7/29/2022

B
North Dakota 7/29/2022

B
Florida 7/29/2022

B
Ohio 7/30/2022

B
Georgia 7/29/2022

B
Oklahoma 7/29/2022

B
Hawaii 7/29/2022

B
Oregon 7/29/2022

B
Idaho 7/29/2022

B
Pennsylvania 7/29/2022

B
Illinois 7/29/2022

B
Puerto Rico 7/29/2022

B
Indiana 7/29/2022

B
Rhode Island 7/29/2022

B
Iowa 7/29/2022

B
South Carolina 7/29/2022

B
Kansas 7/29/2022

B
South Dakota 7/29/2022

B
Kentucky 7/29/2022

B
Tennessee 7/29/2022

B
Louisiana 7/29/2022

IA
Texas 7/28/2022

B
Maine 7/29/2022

B
Texas 7/29/2022

B
Maryland 7/29/2022

B
Utah 7/29/2022

B
Massachusetts 7/29/2022

B
Vermont 7/29/2022

B
Michigan 7/29/2022

B
Virgin Islands 7/29/2022

B
Minnesota 7/29/2022

B
Virginia 7/29/2022

B
Mississippi 7/29/2022

B
Washington 7/29/2022

B
Missouri 7/29/2022

B
West Virginia 7/29/2022

B
Montana 7/29/2022

B
Wisconsin 7/29/2022

B
Nebraska 7/29/2022

B
Wyoming 7/29/2022

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)
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
7000 LINCOLN DR E STE 301, MARLTON, NJ 08053
LEESBURG, NJ
Registered with this firm since 7/29/2022

IA
WELLS FARGO ADVISORS (CRD#:19616)
7000 LINCOLN DR E STE 301, MARLTON, NJ 08053
LEESBURG, NJ
Registered with this firm since 7/28/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/11/2007 - 07/26/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) VINELAND, NJ
B
10/01/2000 - 07/26/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) VINELAND, NJ
B
10/15/1998 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
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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.