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
LARRY STEPHEN SAXBY
CRD#: 411767
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 255 S COUNTY RD 2ND FL
PALM BEACH, FL 33480
Registration History
197519801985199019952000200520102015202020252 FIRMS2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1977 - 2003 (25 years)BBACHE HALSEY STUART INC. (CRD# 7238)1976 - 1977 (1 year)BBACHE & CO INCORPORATED (CRD# 7058)1976 - 1976 (<1 year)BBACHE & CO., INCORPORATED (CRD# 66)1973 - 1976 (2 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1988 - 2003 (15 years)
Disclosure(s)
View By:
5/28/1993
Customer Dispute
Settled
11/25/1992
Customer Dispute
Settled
12/23/1987
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 7/1/2003
B
Montana 12/4/2020
B
California 7/1/2003
B
Nevada 7/1/2003
B
Colorado 7/1/2003
B
New Hampshire 7/1/2003
B
Connecticut 7/1/2003
B
New Jersey 7/1/2003
B
Delaware 7/1/2003
B
New Mexico 4/8/2013
B
District of Columbia 7/1/2003
B
New York 7/1/2003
B
Florida 7/1/2003
B
North Carolina 7/1/2003
IA
Florida 7/1/2003
B
Ohio 7/1/2003
B
Georgia 7/1/2003
B
Pennsylvania 7/1/2003
B
Illinois 7/1/2003
B
Rhode Island 7/1/2003
B
Indiana 11/7/2018
B
South Carolina 7/1/2003
B
Kentucky 5/9/2014
B
Tennessee 7/1/2003
B
Louisiana 7/1/2003
B
Texas 7/1/2003
B
Maine 11/6/2020
IA
Texas 7/1/2003
B
Maryland 7/1/2003
B
Utah 2/20/2025
B
Massachusetts 7/1/2003
B
Vermont 6/5/2007
B
Michigan 7/1/2003
B
Virginia 7/1/2003
B
Minnesota 12/10/2009
B
Washington 7/1/2003
B
Missouri 7/1/2003
B
Wisconsin 7/1/2003

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)
255 S COUNTY RD 2ND FL, PALM BEACH, FL 33480
Palm Beach Gardens, FL
Registered with this firm since 7/1/2003
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
255 S COUNTY RD 2ND FL, PALM BEACH, FL 33480
Palm Beach Gardens, FL
Registered with this firm since 7/1/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/29/1988 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) PALM BEACH, FL
B
 09/16/1977 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 08/27/1976 - 09/16/1977 BACHE HALSEY STUART INC. (CRD#:7238)
B
 02/27/1976 - 08/27/1976 BACHE & CO INCORPORATED (CRD#:7058)
B
 04/12/1973 - 02/27/1976 BACHE & CO., INCORPORATED (CRD#:66)
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.