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Detailed Report
VINCE WARREN FINNEY
VINCENT WARREN FINNEY
CRD#: 4198193
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 380 POLARIS PKWY
STE 250
WESTERVILLE, OH 43082
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2003 - 2009 (5 years)2 FIRMS2009 - 2018 (9 years)2 FIRMS2018 - Present (6 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2003 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2003 (<1 year)
License(s)

State Registrations

B
Arizona 11/2/2018
B
New Hampshire 11/2/2018
B
Arkansas 2/12/2025
B
New Jersey 11/2/2018
B
California 11/2/2018
B
New Mexico 11/2/2018
B
Colorado 11/2/2018
B
New York 11/2/2018
B
Delaware 5/17/2021
B
North Carolina 11/2/2018
B
District of Columbia 11/20/2024
B
Ohio 11/2/2018
B
Florida 11/2/2018
IA
Ohio 11/2/2018
B
Georgia 11/2/2018
B
Oregon 11/2/2018
B
Illinois 11/2/2018
B
Pennsylvania 11/2/2018
B
Indiana 11/2/2018
B
South Carolina 11/2/2018
B
Kentucky 11/2/2018
B
Tennessee 11/2/2018
B
Maryland 1/17/2020
B
Texas 11/2/2018
B
Massachusetts 11/2/2018
IA
Texas 11/2/2018
B
Michigan 11/2/2018
B
Utah 7/26/2019
B
Minnesota 1/3/2023
B
Virginia 11/2/2018
B
Mississippi 2/25/2022
B
Washington 11/2/2018
B
Missouri 11/2/2018
B
West Virginia 6/8/2022
B
Nebraska 8/14/2019
B
Wisconsin 7/23/2020
B
Nevada 7/15/2022
B
Wyoming 11/2/2018

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)
380 POLARIS PKWY STE 250, WESTERVILLE, OH 43082
Registered with this firm since 11/2/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
380 POLARIS PKWY STE 250, WESTERVILLE, OH 43082
Registered with this firm since 11/2/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/16/2009 - 11/13/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW ALBANY, OH
B
 01/16/2009 - 11/13/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW ALBANY, OH
IA
 11/06/2003 - 01/22/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) COLUMBUS, OH
B
 11/06/2003 - 01/22/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) COLUMBUS, OH
IA
 05/02/2003 - 11/07/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) COLUMBUS, OH
B
 07/24/2002 - 11/07/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) 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.