Individual Firm
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JEFFREY LAWRENCE KILEY
JEFF L KILEY, JEFF LAWRENCE KILEY
CRD#: 4007381
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1700 K ST NW 9TH FL
[DU-RBO]
WASHINGTON, DC 20006
[DU-RBO]
WASHINGTON, DC 20006
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2/24/2005
Customer Dispute
Denied
3/22/2004
Customer Dispute
Withdrawn
3/22/2004
Customer Dispute
Withdrawn
State Registrations
B
Arizona 12/1/2004
B
Missouri 2/6/2008
B
California 11/2/2004
B
New Jersey 11/5/2004
B
Colorado 7/27/2016
B
New Mexico 9/14/2016
B
Connecticut 9/8/2020
B
New York 8/18/2004
B
District of Columbia 8/18/2004
B
North Carolina 11/4/2004
IA
District of Columbia 8/31/2004
B
Ohio 5/25/2015
B
Florida 8/18/2004
B
Pennsylvania 10/15/2004
B
Illinois 11/3/2004
B
South Carolina 5/23/2022
B
Maryland 8/18/2004
B
Texas 2/15/2017
IA
Maryland 8/18/2004
IA
Texas 2/16/2017
B
Massachusetts 11/9/2004
B
Virginia 8/18/2004
B
Minnesota 2/27/2017
IA
Virginia 5/5/2021
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 8/18/2004
B
Registered with this firm since 8/17/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/28/2000 - 08/20/2004 | WASHINGTON, DC | |
B | 05/22/2000 - 08/20/2004 | WEEHAWKEN, NJ | |
B | 02/04/2000 - 05/22/2000 | PURCHASE, 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.