Individual Firm
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CARL STEWART WARREN
CRD#: 3243594
IA
B
WELLS FARGO ADVISORSCRD#: 19616 4051 E SUNRISE DR STE 200
TUCSON, AZ 85718
TUCSON, AZ 85718
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5/26/2017
Customer Dispute
Denied
9/5/2001
Customer Dispute
Denied
State Registrations
B
Arizona 1/10/2011
B
New Mexico 8/3/2021
IA
Arizona 1/19/2011
B
New York 8/3/2021
B
Arkansas 6/22/2021
B
North Carolina 4/12/2019
B
California 5/14/2012
B
Ohio 8/4/2021
B
Colorado 1/20/2016
B
Oregon 2/19/2013
B
Connecticut 8/3/2021
B
Pennsylvania 4/9/2024
B
Florida 1/25/2017
B
South Carolina 8/3/2021
B
Hawaii 8/3/2021
B
Texas 10/18/2016
B
Idaho 7/18/2017
IA
Texas 10/19/2016
B
Illinois 2/20/2018
B
Utah 8/3/2021
B
Indiana 5/18/2022
B
Virginia 8/3/2021
B
Iowa 8/9/2024
B
Washington 3/12/2014
B
Michigan 1/10/2011
B
Wisconsin 12/6/2021
B
Missouri 5/22/2018
B
Wyoming 8/3/2021
B
Nevada 8/3/2021
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/19/2011
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Registered with this firm since 1/10/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/15/2010 - 01/05/2011 | HOUSTON, TX | |
B | 10/15/2003 - 01/05/2011 | TUCSON, AZ | |
IA | 04/15/2010 - 10/15/2010 | TUCSON, AZ | |
B | 07/16/1999 - 10/03/2003 | DETROIT, MI |
TUCSON, AZ
04/15/2010 - 10/15/2010
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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.