Individual Firm
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JEFFREY TSZ CHING BUK
CRD#: 4154307
IA
B
WELLS FARGO ADVISORSCRD#: 19616 5191 MOWRY AVE
FREMONT, CA 94538
FREMONT, CA 94538
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9/8/2021
Customer Dispute
Denied
9/12/2016
Customer Dispute
Denied
10/25/2011
Customer Dispute
Denied
11/20/2008
Customer Dispute
Denied
1/16/2007
Customer Dispute
Settled
State Registrations
B
Arizona 3/4/2019
B
Maryland 3/13/2023
B
California 1/3/2011
B
Nevada 5/26/2020
IA
California 12/23/2019
B
New Jersey 11/21/2023
B
Colorado 7/26/2024
B
Oklahoma 1/17/2023
B
Florida 4/2/2024
B
Oregon 1/10/2019
B
Georgia 3/5/2024
IA
Texas 7/13/2017
B
Hawaii 12/16/2022
B
Texas 7/14/2017
B
Idaho 3/31/2020
B
Washington 7/6/2016
B
Indiana 7/1/2024
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 7/13/2017
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/07/2016 - 12/31/2016 | UNION CITY, CA | |
IA | 04/28/2015 - 12/31/2015 | UNION CITY, CA | |
B | 06/18/2008 - 01/03/2011 | UNION CITY, CA | |
B | 01/31/2001 - 06/18/2008 | FREMONT, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.