Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ARVIND PRAKASH MATHUR
CRD#: 4027501
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1155 SCHADT AVE
WHITEHALL, PA 18052
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - Present (19 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2005 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2001 (1 year)
License(s)

State Registrations

B
Arizona 2/8/2024
B
New York 2/14/2019
B
Arkansas 2/19/2019
B
North Carolina 10/11/2005
B
California 10/11/2005
B
Oregon 11/8/2024
B
Colorado 7/8/2013
B
Pennsylvania 10/11/2005
B
Delaware 1/9/2019
IA
Pennsylvania 10/17/2005
B
Florida 10/11/2005
B
South Carolina 1/11/2019
B
Georgia 2/14/2007
B
Tennessee 6/24/2011
B
Maryland 3/29/2019
B
Texas 10/11/2005
B
Michigan 1/14/2010
B
Virginia 10/11/2005
B
Missouri 1/14/2010
B
Washington 1/11/2019
B
Nevada 11/4/2021
B
West Virginia 2/13/2019
B
New Jersey 10/11/2005

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)
1155 SCHADT AVE, WHITEHALL, PA 18052
4905 W TILGHMAN ST STE 350 [DA-RBO], ALLENTOWN, PA 18104
Registered with this firm since 10/17/2005
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1155 SCHADT AVE, WHITEHALL, PA 18052
4905 W TILGHMAN ST STE 350 [DA-RBO], ALLENTOWN, PA 18104
Registered with this firm since 10/11/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/09/2001 - 08/29/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 01/02/2000 - 05/23/2001 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.