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
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2022 (9 years)2 FIRMS2022 - Present (3 years)BWAMU INVESTMENTS, INC. (CRD# 599)2000 - 2009 (9 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2008 - 2009 (1 year)
Disclosure(s)
View By:
1/19/2016
Customer Dispute
Denied
6/9/2008
Customer Dispute
Settled
7/28/2004
Customer Dispute
Denied
12/6/2000
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/31/2022
B
New Jersey 3/20/2024
B
California 3/31/2022
B
New Mexico 3/31/2022
IA
California 4/4/2022
B
New York 3/31/2022
B
Colorado 10/24/2024
B
Ohio 2/18/2025
B
Connecticut 2/14/2025
B
Oklahoma 2/14/2025
B
Florida 3/31/2022
B
Oregon 2/14/2025
B
Kansas 2/14/2025
B
South Carolina 2/14/2025
B
Maine 2/14/2025
B
Tennessee 2/14/2025
B
Maryland 2/14/2025
B
Texas 2/14/2025
B
Michigan 11/20/2024
IA
Texas 2/15/2025
B
Nebraska 2/14/2025
B
Washington 9/4/2024
B
Nevada 3/31/2022
B
West Virginia 2/14/2025

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
15760 VENTURA BLVD 1ST FL, ENCINO, CA 91436
Registered with this firm since 3/31/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
15760 VENTURA BLVD 1ST FL, ENCINO, CA 91436
Registered with this firm since 3/31/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/01/2012 - 04/01/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) STUDIO CITY, CA
B
 10/01/2012 - 04/01/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) STUDIO CITY, CA
IA
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) STUDIO CITY, CA
B
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) STUDIO CITY, CA
IA
 03/14/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) STUDIO CITY, CA
B
 05/18/2000 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) STUDIO CITY, CA
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.