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Detailed Report
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2011 - Present (14 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2011 (9 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2001 - 2001 (<1 year)BBANK UNITED SECURITIES CORP. (CRD# 30288)2000 - 2001 (<1 year)BSOUTHWEST SECURITIES, INC. (CRD# 6220)1999 - 2000 (1 year)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2006 - 2011 (4 years)
Disclosure(s)
View By:
8/14/2011
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Arizona 3/7/2024
B
North Carolina 6/22/2021
B
Arkansas 1/3/2011
B
Oklahoma 6/22/2023
B
California 1/16/2024
B
Oregon 9/22/2020
B
Colorado 2/6/2019
B
South Dakota 3/3/2020
B
Illinois 8/11/2016
B
Texas 1/3/2011
B
Kansas 4/19/2017
IA
Texas 1/3/2011
B
Louisiana 1/3/2011
B
Washington 11/6/2018
B
Mississippi 5/8/2017
B
West Virginia 4/5/2022
B
New Mexico 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)
4311 W GRAND PKWY S, KATY, TX 77494
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4311 W GRAND PKWY S, KATY, TX 77494
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 04/21/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) HUMBLE, TX
B
 07/06/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) HUMBLE, TX
B
 04/01/2001 - 06/13/2001 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
 09/15/2000 - 04/01/2001 BANK UNITED SECURITIES CORP. (CRD#:30288) HOUSTON, TX
B
 05/13/1999 - 09/19/2000 SOUTHWEST SECURITIES, INC. (CRD#:6220) DALLAS, TX
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.