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Registration History
1970197519801985199019952000200520102015202020252 FIRMS2023 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2003 - 2023 (19 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1989 - 2003 (13 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1973 - 1989 (16 years)BHALLE & STIEGLITZ, FILOR BULLA... (CRD# 6411)1970 - 1974 (4 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2009 - 2023 (13 years)
Disclosure(s)
View By:
7/8/2004
Regulatory
Final
10/22/1999
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/23/2023

B
Missouri 2/22/2023

B
Arizona 1/17/2023

B
Nevada 1/17/2023

B
California 1/17/2023

B
New Jersey 1/18/2023

B
Colorado 1/17/2023

B
New Mexico 1/17/2023

B
Connecticut 1/17/2023

B
New York 1/17/2023

B
Delaware 1/17/2023

B
North Carolina 1/17/2023

B
District of Columbia 1/17/2023

B
Ohio 1/17/2023

B
Florida 1/17/2023

B
Oregon 1/17/2023

IA
Florida 1/18/2023

B
Pennsylvania 1/17/2023

B
Georgia 1/19/2023

B
Puerto Rico 1/17/2023

B
Illinois 1/25/2023

B
Rhode Island 1/17/2023

B
Indiana 2/6/2023

B
South Carolina 2/6/2023

B
Iowa 2/6/2023

B
Tennessee 1/17/2023

B
Kentucky 1/17/2023

B
Texas 1/17/2023

B
Maine 1/17/2023

IA
Texas 1/17/2023

B
Maryland 1/17/2023

B
Virginia 1/17/2023

B
Massachusetts 1/17/2023

B
Washington 2/22/2023

B
Michigan 1/17/2023

B
Wyoming 1/17/2023

B
Minnesota 1/10/2025

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
AVENTURA, FL
Registered with this firm since 1/17/2023

B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
AVENTURA, FL
Registered with this firm since 1/17/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/13/2009 - 01/17/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) AVENTURA, FL
B
07/01/2003 - 01/17/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) AVENTURA, FL
B
09/15/1989 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
07/09/1973 - 09/15/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
B
02/03/1970 - 06/05/1974 HALLE & STIEGLITZ, FILOR BULLARD, INC. (CRD#:6411)
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IA
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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.