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TINA TINAU LOUIE
CRD#: 3177277
IA
B
WELLS FARGO ADVISORSCRD#: 19616 10 CHESTNUT AVE
SOUTH SAN FRANCISCO, CA 94080
SOUTH SAN FRANCISCO, CA 94080
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3/18/2002
Customer Dispute
Settled
State Registrations
B
Arizona 11/30/2023
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Idaho 2/13/2025
B
California 9/28/2009
B
Nevada 4/27/2021
IA
California 9/28/2009
B
North Carolina 2/1/2018
B
Hawaii 1/27/2017
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 9/28/2009
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Registered with this firm since 9/28/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/03/2006 - 09/28/2009 | ALAMEDA, CA | |
B | 11/03/2006 - 09/28/2009 | ALAMEDA, CA | |
IA | 10/27/2005 - 02/21/2007 | OAKLAND, CA | |
B | 02/05/2003 - 02/21/2007 | OAKLAND, CA | |
B | 11/28/2001 - 02/05/2003 | SACRAMENTO, CA | |
B | 07/31/2000 - 11/16/2001 | SAN FRANCISCO, CA | |
B | 09/14/1999 - 07/31/2000 | SAN FRANCISCO, CA | |
B | 04/30/1999 - 09/08/1999 | PASADENA, CA |
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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.