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
KORY STEVEN SCHLEICHER
CRD#: 4133258
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 550 S 4TH ST 13TH FL
[TPB SERVICES]
MINNEAPOLIS, MN 55415
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2011 - Present (14 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2011 (9 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)2000 - 2000 (<1 year)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2010 - 2011 (<1 year)
License(s)

State Registrations

B
Minnesota 1/3/2011
IA
Minnesota 11/18/2013

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)
550 S 4TH ST 13TH FL [TPB SERVICES], MINNEAPOLIS, MN 55415
EDINA, MN
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
550 S 4TH ST 13TH FL [TPB SERVICES], MINNEAPOLIS, MN 55415
EDINA, MN
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/23/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MINNEAPOLIS, MN
B
 05/15/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MINNEAPOLIS, MN
B
 02/28/2000 - 12/08/2000 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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.