Individual Firm
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SCOTT G PURRELLI
CRD#: 3259030
IA
B
WELLS FARGO ADVISORSCRD#: 19616 999 3RD AVE
STE 4000
SEATTLE, WA 98104
STE 4000
SEATTLE, WA 98104
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9/26/2005
Regulatory
Final
State Registrations
B
Alabama 1/28/2025
B
New Jersey 7/8/2019
B
California 7/8/2019
B
New York 7/8/2019
B
Colorado 7/8/2019
B
Pennsylvania 7/8/2019
B
Delaware 7/8/2019
B
Tennessee 7/7/2023
B
Florida 7/8/2019
B
Washington 7/8/2019
B
Georgia 7/11/2024
IA
Washington 7/8/2019
B
Hawaii 4/16/2024
B
Wisconsin 8/7/2019
B
Illinois 7/8/2019
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 7/8/2019
B
Registered with this firm since 7/8/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/15/2013 - 07/17/2019 | NEWPORT BEACH, CA | |
B | 02/15/2013 - 07/17/2019 | NEWPORT BEACH, CA | |
B | 11/29/2005 - 03/13/2013 | NEW YORK, NY | |
IA | 12/04/2000 - 12/12/2005 | PARSIPPANY, NJ | |
B | 03/01/2000 - 12/12/2005 | COHOES, NY |
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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.