Individual Firm
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WANDA E RHIM
CRD#: 3134536
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1900 DUKE ST STE 100
[SUPPORT CENTER]
ALEXANDRIA, VA 22314
[SUPPORT CENTER]
ALEXANDRIA, VA 22314
View By:
6/1/2005
Judgment / Lien
State Registrations
B
Arkansas 9/16/2020
B
Massachusetts 9/16/2020
B
Delaware 2/24/2023
B
Utah 9/16/2020
B
District of Columbia 3/2/2023
B
Virginia 2/22/2023
B
Maryland 11/16/2018
IA
Virginia 2/22/2023
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 2/1/2010
B
Registered with this firm since 1/29/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/19/1999 - 01/12/2010 | CHARLESTON, WV | |
B | 04/28/1999 - 01/12/2010 | CHARLESTON, WV |
CHARLESTON, WV
08/19/1999 - 01/12/2010
CHARLESTON, WV
04/28/1999 - 01/12/2010
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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.