Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2010 (11 years)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - Present (12 years)
Disclosure(s)
View By:
10/13/2015
Customer Dispute
Denied
12/20/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/3/2019
B
Montana 3/30/2022
B
California 8/1/2012
B
Nevada 8/9/2018
IA
California 8/1/2012
B
New Jersey 8/9/2012
B
Colorado 7/14/2021
B
New Mexico 3/30/2022
B
Connecticut 1/23/2024
B
New York 1/29/2021
B
Florida 7/14/2021
B
Ohio 11/29/2022
B
Georgia 3/30/2022
B
Oklahoma 3/30/2022
B
Idaho 3/30/2022
B
Oregon 8/1/2012
B
Illinois 3/30/2022
B
Pennsylvania 8/1/2012
B
Iowa 3/31/2022
B
Texas 8/1/2012
B
Maryland 5/26/2021
B
Virginia 9/29/2017
B
Massachusetts 6/17/2016
B
Washington 11/5/2015
B
Michigan 1/23/2020
IA
Washington 4/30/2018
B
Minnesota 7/16/2024
B
Wyoming 6/5/2024
B
Missouri 5/21/2021

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)
23 BELLWETHER WAY STE 200, BELLINGHAM, WA 98225
Registered with this firm since 8/1/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
23 BELLWETHER WAY STE 200, BELLINGHAM, WA 98225
Registered with this firm since 8/1/2012
Previous Registration(s)
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IA
 04/23/2010 - 08/01/2012 MOORS & CABOT, INC (CRD#:594) SAN FRANCISCO, CA
B
 04/23/2010 - 08/01/2012 MOORS & CABOT, INC. (CRD#:594) SAN FRANCISCO, CA
IA
 03/10/1999 - 04/27/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKLAND, CA
B
 01/29/1999 - 04/27/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKLAND, CA
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.