• 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.
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2003 - 2009 (6 years)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - Present (8 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)2001 - 2001 (<1 year)
Disclosure(s)
View By:
11/28/2022
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 9/16/2016

B
New York 9/16/2016

B
California 9/16/2016

B
North Carolina 9/16/2016

IA
California 9/16/2016

B
Oregon 11/14/2018

B
Colorado 9/16/2016

IA
Pennsylvania 9/4/2018

B
Idaho 3/27/2024

B
Pennsylvania 8/26/2019

B
Illinois 11/14/2018

B
Texas 9/16/2016

B
Massachusetts 9/16/2016

IA
Texas 9/16/2016

B
Nevada 3/4/2024

B
Utah 10/18/2016

B
New Hampshire 9/16/2016

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)
EAGLES MERE, PA
Registered with this firm since 9/16/2016

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
EAGLES MERE, PA
Registered with this firm since 9/16/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/29/2009 - 09/30/2016 MORGAN STANLEY (CRD#:149777) SAN RAFAEL, CA
B
06/27/2009 - 09/30/2016 MORGAN STANLEY (CRD#:149777) SAN RAFAEL, CA
IA
05/05/2003 - 06/27/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN RAFAEL, CA
B
01/28/2003 - 06/27/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN RAFAEL, CA
IA
05/22/2009 - 05/29/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
B
05/22/2009 - 05/29/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
B
02/15/2001 - 11/08/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.