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CHRISTOPHER CASPIAN ARUFFO
CHRIS C ARUFFO, CHRISTOPHER ARUFFO, Christopher Caspian Aruffo, CHRISTOPHER SCOTT SMITH
CRD#: 4226903
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10877 WILSHIRE BLVD
STE 1700
LOS ANGELES, CA 90024
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2017 - 2019 (1 year)2 FIRMS2019 - Present (5 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2000 - 2003 (2 years)
License(s)

State Registrations

B
Arizona 5/16/2023

B
Missouri 6/28/2019

B
California 6/28/2019

B
Nevada 6/28/2019

IA
California 6/28/2019

B
New Jersey 6/28/2019

B
Colorado 9/26/2022

B
New Mexico 6/28/2019

B
Connecticut 6/28/2019

B
New York 6/28/2019

B
Delaware 6/28/2019

B
Ohio 6/28/2019

B
District of Columbia 6/28/2019

B
Oregon 6/28/2019

B
Florida 6/28/2019

B
Pennsylvania 6/28/2019

B
Georgia 6/28/2019

B
South Carolina 6/28/2019

B
Hawaii 9/16/2022

B
Tennessee 8/24/2022

B
Idaho 6/28/2019

B
Texas 6/28/2019

B
Illinois 6/28/2019

IA
Texas 6/28/2019

B
Maine 6/13/2022

B
Utah 7/10/2024

B
Maryland 9/21/2022

B
Virginia 6/28/2019

B
Massachusetts 4/27/2022

B
Washington 6/28/2019

B
Mississippi 6/28/2019

B
Wyoming 2/8/2023

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)
10877 WILSHIRE BLVD STE 1700, LOS ANGELES, CA 90024
Registered with this firm since 6/28/2019

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10877 WILSHIRE BLVD STE 1700, LOS ANGELES, CA 90024
Registered with this firm since 6/28/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/06/2017 - 06/17/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROLLING MEADOWS, IL
B
10/24/2017 - 06/17/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROLLING MEADOWS, IL
B
09/29/2000 - 08/19/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
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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.