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Detailed Report
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2011 (8 years)2 FIRMS2011 - Present (14 years)BMORGAN STANLEY DW INC. (CRD# 7556)1998 - 2002 (3 years)
Disclosure(s)
View By:
5/14/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/3/2011
B
Oklahoma 12/22/2021
B
California 1/3/2011
B
Oregon 1/3/2011
B
Colorado 2/27/2018
B
Texas 10/23/2017
B
Idaho 1/3/2011
IA
Texas 10/24/2017
B
Montana 5/19/2022
B
Utah 1/3/2011
B
Nebraska 1/3/2011
IA
Utah 1/3/2011
B
Nevada 1/3/2011
B
Washington 1/3/2011

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)
180 E MAIN ST, PRICE, UT 84501
86 N UNIVERSITY AVE 1ST & 2ND FLS, PROVO, UT 84601
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
180 E MAIN ST, PRICE, UT 84501
86 N UNIVERSITY AVE 1ST & 2ND FLS, PROVO, UT 84601
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 07/18/2002 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) OREM, UT
B
 03/11/2002 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) OREM, UT
B
 12/02/1998 - 03/13/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.