Individual Firm
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ALEX GANAPOLSKY
CRD#: 4201195
IA
B
WELLS FARGO ADVISORSCRD#: 19616 9354 WILSHIRE BLVD
BEVERLY HILLS, CA 90212
BEVERLY HILLS, CA 90212
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10/27/2008
Customer Dispute
Denied
3/18/2008
Customer Dispute
Settled
State Registrations
B
Alabama 10/22/2024
B
Missouri 2/5/2025
B
Arizona 5/11/2017
B
Nevada 1/30/2018
B
California 1/3/2011
B
New York 5/13/2015
IA
California 1/3/2011
B
Ohio 8/4/2022
B
Colorado 11/29/2024
B
Puerto Rico 1/9/2019
B
Connecticut 4/8/2021
B
Texas 7/1/2021
B
District of Columbia 2/5/2024
IA
Texas 7/1/2021
B
Florida 10/15/2021
B
Utah 11/27/2018
B
Hawaii 7/5/2011
B
Virginia 5/10/2021
B
Illinois 6/17/2021
B
Washington 1/3/2011
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/3/2011
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/07/2009 - 01/03/2011 | LOS ANGELES, CA | |
B | 04/07/2009 - 01/03/2011 | LOS ANGELES, CA | |
IA | 07/01/2008 - 04/09/2009 | BEVERLY HILLS, CA | |
B | 12/21/2000 - 04/09/2009 | BEVERLY HILLS, CA | |
B | 06/21/2000 - 09/13/2000 | IRVINE, 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.