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Detailed Report
STEPHEN FRANCIS LEN
CRD#: 4143593
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1201 NEW RD, STE 207
CORNERSTONE COMMERCE CENTER
LINWOOD, NJ 08221
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2006 (<1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2016 (4 years)2 FIRMS2016 - Present (9 years)BRYDEX DISTRIBUTORS, INC. (CRD# 40805)2005 - 2006 (<1 year)
License(s)

State Registrations

B
Arizona 3/30/2016
B
Missouri 4/17/2023
B
California 10/4/2023
B
New Jersey 3/30/2016
B
Colorado 1/6/2023
IA
New Jersey 3/31/2016
B
Delaware 6/25/2019
B
New York 4/22/2016
B
Florida 3/30/2016
B
North Carolina 3/7/2025
IA
Florida 8/27/2019
B
Pennsylvania 3/30/2016
B
Georgia 6/19/2019
B
South Carolina 1/23/2024
B
Kansas 3/30/2016
B
Virginia 8/15/2019
B
Maryland 6/19/2019
B
West Virginia 6/19/2019
B
Minnesota 6/25/2019

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)
1201 NEW RD, STE 207 CORNERSTONE COMMERCE CENTER, LINWOOD, NJ 08221
MANAHAWKIN, NJ
Registered with this firm since 3/31/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1201 NEW RD, STE 207 CORNERSTONE COMMERCE CENTER, LINWOOD, NJ 08221
MANAHAWKIN, NJ
Registered with this firm since 3/30/2016
Previous Registration(s)
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IA
 09/30/2011 - 03/31/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EGG HARBOR TOWNSHIP, NJ
B
 09/30/2011 - 03/31/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EGG HARBOR TOWNSHIP, NJ
IA
 11/03/2009 - 10/27/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) TOMS RIVER, NJ
B
 11/03/2009 - 10/27/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) TOMS RIVER, NJ
IA
 04/24/2008 - 04/28/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MAYS LANDING, NJ
B
 04/24/2008 - 04/28/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MAYS LANDING, NJ
IA
 01/25/2007 - 04/09/2008 PNC INVESTMENTS (CRD#:129052) DELRAN, NJ
B
 01/25/2007 - 04/09/2008 PNC INVESTMENTS (CRD#:129052) DELRAN, NJ
IA
 05/31/2006 - 11/20/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) ROCKVILLE, MD
B
 05/23/2006 - 11/20/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROCKVILLE, MD
B
 12/09/2005 - 05/01/2006 RYDEX DISTRIBUTORS, INC. (CRD#:40805) ROCKVILLE, MD
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.