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
JEFFREY DOUGLAS GARTON
JEFFERY DOUGLAS GARTON
CRD#: 4190359
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6781 N PALM AVE STE 201
[NT/NV-RBO]
FRESNO, CA 93704
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2011 (8 years)2 FIRMS2011 - Present (14 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2001 - 2002 (<1 year)
Disclosure(s)
View By:
10/26/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/3/2011
B
North Carolina 2/26/2025
B
California 1/3/2011
B
Ohio 2/5/2025
IA
California 1/3/2011
B
Oregon 1/10/2025
B
Colorado 1/2/2020
B
Texas 1/12/2018
B
Illinois 2/4/2022
IA
Texas 1/12/2018
B
Maine 3/8/2017
B
Virginia 4/4/2023
B
Nevada 6/27/2016
B
Wisconsin 7/10/2017
B
New Jersey 7/7/2011

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)
6781 N PALM AVE STE 201 [NT/NV-RBO], FRESNO, CA 93704
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6781 N PALM AVE STE 201 [NT/NV-RBO], FRESNO, CA 93704
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/28/2002 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FRESNO, CA
B
 02/14/2002 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FRESNO, CA
B
 08/13/2001 - 02/12/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.