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PHILIP NAAS
PHILIP LEE NAAS
CRD#: 344360
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 14767 NORTH OUTER 40 RD
FL 2
CHESTERFIELD, MO 63017
Registration History
197519801985199019952000200520102015202020252 FIRMS2000 - 2006 (6 years)2 FIRMS2006 - Present (18 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1981 - 2000 (19 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1978 - 1981 (3 years)BDEAN WITTER & CO. INCORPORATED (CRD# 6466)1976 - 1978 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1972 - 1976 (4 years)
Disclosure(s)
View By:
10/7/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/15/2019

IA
Missouri 9/15/2006

B
California 1/15/2019

B
New Jersey 1/15/2019

B
Colorado 1/15/2019

B
New York 1/15/2019

B
Florida 9/18/2006

B
North Carolina 5/6/2019

B
Georgia 2/12/2019

B
Oklahoma 6/4/2019

B
Illinois 9/15/2006

B
Pennsylvania 9/15/2006

B
Kansas 1/15/2019

B
Tennessee 1/6/2012

B
Kentucky 8/12/2021

B
Texas 9/15/2006

B
Louisiana 4/7/2020

IA
Texas 9/15/2006

B
Minnesota 1/13/2022

B
Virginia 8/7/2013

B
Mississippi 1/15/2019

B
Washington 1/15/2019

B
Missouri 9/15/2006

B
Wisconsin 1/15/2019

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)
14767 NORTH OUTER 40 RD FL 2, CHESTERFIELD, MO 63017
Registered with this firm since 9/15/2006

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
14767 NORTH OUTER 40 RD FL 2, CHESTERFIELD, MO 63017
Registered with this firm since 9/15/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/21/2000 - 09/26/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) TOWN & COUNTRY, MO
B
03/17/2000 - 09/26/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) TOWN & COUNTRY, MO
B
02/20/1981 - 03/24/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
02/24/1978 - 03/06/1981 DEAN WITTER REYNOLDS INC. (CRD#:7556)
B
09/24/1976 - 02/24/1978 DEAN WITTER & CO. INCORPORATED (CRD#:6466)
B
09/21/1972 - 10/31/1976 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
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B
Broker
IA
Investment Adviser
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.