Individual Firm
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ANTHONY RAYMOND SORIA JR.
TONY RAYMOND SORIA JR.
CRD#: 4028888
IA
B
WELLS FARGO ADVISORSCRD#: 19616 710 E SHAW AVE
FRESNO, CA 93710
FRESNO, CA 93710
0
Disclosures
24
Years of Experience
View By:
State Registrations
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Arizona 7/11/2012
B
Rhode Island 8/4/2020
B
California 4/29/2011
B
Texas 3/16/2020
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California 5/3/2011
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Texas 3/16/2020
B
Hawaii 11/2/2015
B
Washington 2/28/2017
B
Idaho 3/21/2022
SRO Registrations
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Registered with this firm since 5/3/2011
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Registered with this firm since 4/29/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/23/2009 - 05/02/2011 | FRESNO, CA | |
B | 10/23/2009 - 05/02/2011 | FRESNO, CA | |
IA | 08/05/2003 - 10/23/2009 | FRESNO, CA | |
B | 02/05/2001 - 10/23/2009 | FRESNO, CA | |
B | 12/02/1999 - 09/08/2000 | NEW YORK, NY |
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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.
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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.