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Detailed Report
WAYNE E SIMPSON
CRD#: 4023991
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3059 TOWNSGATE RD 4TH FL/STE 400
[LD-RBO]
WESTLAKE VILLAGE, CA 91361
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2011 (5 years)2 FIRMS2011 - Present (14 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2001 - 2005 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2001 (1 year)
Disclosure(s)
View By:
10/19/2009
Judgment / Lien
License(s)

State Registrations

B
Alaska 4/3/2025
B
Nevada 4/23/2013
B
Arizona 1/3/2011
B
North Carolina 9/24/2020
B
California 1/3/2011
B
Ohio 3/28/2025
IA
California 1/3/2011
B
Oklahoma 11/16/2018
B
Colorado 2/23/2024
B
Oregon 3/17/2015
B
Florida 4/25/2023
B
Tennessee 7/26/2023
B
Georgia 4/4/2013
B
Texas 5/17/2023
B
Illinois 3/25/2025
IA
Texas 5/17/2023
B
Maine 10/18/2017
B
Utah 8/13/2018
B
Minnesota 7/15/2018
B
Vermont 9/22/2022
B
Montana 1/13/2025

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)
3059 TOWNSGATE RD 4TH FL/STE 400 [LD-RBO], WESTLAKE VILLAGE, CA 91361
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3059 TOWNSGATE RD 4TH FL/STE 400 [LD-RBO], WESTLAKE VILLAGE, CA 91361
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/04/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) VALENCIA, CA
B
 01/03/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) VALENCIA, CA
B
 12/21/2001 - 11/28/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
 12/09/1999 - 11/20/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.