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Detailed Report
BRETT RAPHAEL LEVY
CRD#: 4283177
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 8115 PRESTON RD
STE 300
DALLAS, TX 75225
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2010 - 2019 (9 years)2 FIRMS2019 - Present (5 years)BOPPENHEIMER & CO. INC. (CRD# 249)2003 - 2010 (7 years)BCIBC WORLD MARKETS CORP. (CRD# 630)2000 - 2003 (2 years)
License(s)

State Registrations

B
California 6/7/2019
B
Missouri 11/8/2021
B
Delaware 12/24/2024
B
New York 2/24/2025
B
Florida 6/7/2019
B
Ohio 7/17/2019
B
Georgia 4/5/2022
B
Texas 6/7/2019
B
Minnesota 6/7/2019
IA
Texas 6/7/2019
B
Mississippi 10/27/2022
B
Wyoming 6/7/2019

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)
8115 PRESTON RD STE 300, DALLAS, TX 75225
Registered with this firm since 6/7/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
8115 PRESTON RD STE 300, DALLAS, TX 75225
Registered with this firm since 6/7/2019
Previous Registration(s)
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IA
 02/01/2010 - 06/11/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
 01/15/2010 - 06/11/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
 01/03/2003 - 01/20/2010 OPPENHEIMER & CO. INC. (CRD#:249) DALLAS, TX
B
 12/01/2000 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) 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.