Individual Firm
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JASON ROBERT GASKINS
CRD#: 4086346
IA
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WELLS FARGO ADVISORSCRD#: 19616 701 S HAM LN 2ND FL
LODI, CA 95242
LODI, CA 95242
View By:
3/22/2010
Customer Dispute
Settled
State Registrations
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Arizona 1/28/2020
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North Dakota 5/2/2022
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Arkansas 6/25/2019
B
Ohio 10/18/2021
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California 1/3/2011
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Oklahoma 9/22/2020
IA
California 1/3/2011
B
Oregon 5/13/2013
B
Colorado 11/30/2021
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South Carolina 3/6/2023
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Connecticut 6/12/2024
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South Dakota 7/12/2022
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Florida 4/3/2018
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Tennessee 8/29/2024
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Idaho 9/22/2011
B
Texas 11/15/2017
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Indiana 1/23/2024
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Texas 11/15/2017
B
Montana 7/30/2020
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Washington 4/22/2022
B
Nevada 1/3/2011
SRO Registrations
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IA
Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/03/2004 - 01/03/2011 | LODI, CA | |
B | 08/03/2004 - 01/03/2011 | LODI, CA | |
IA | 07/25/2002 - 08/03/2004 | SACRAMENTO, CA | |
B | 07/25/2002 - 08/03/2004 | IRVINE, CA | |
IA | 05/15/2001 - 07/22/2002 | SAN DIEGO, CA | |
B | 05/02/2001 - 07/22/2002 | SAN FRANCISCO, CA | |
B | 03/12/2001 - 05/02/2001 | SAN FRANCISCO, CA | |
B | 06/28/2000 - 02/20/2001 | AUSTIN, TX |
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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.