Individual Firm
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BYRON LEE ELLIS
CRD#: 4302550
IA
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WELLS FARGO ADVISORSCRD#: 19616 101 S CAPITOL BLVD STE 700
BOISE, ID 83702
BOISE, ID 83702
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8/31/2020
Criminal
Final Disposition
State Registrations
B
Alaska 2/1/2018
B
Montana 2/26/2025
B
Arizona 9/7/2023
B
Nevada 11/30/2021
B
Arkansas 9/21/2021
B
New Mexico 10/17/2019
B
California 11/3/2014
B
New York 11/3/2014
B
Colorado 11/3/2014
B
Oregon 11/3/2014
B
Florida 11/3/2014
B
South Dakota 1/22/2016
B
Idaho 11/3/2014
B
Texas 10/11/2016
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Idaho 11/3/2014
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Texas 10/12/2016
B
Illinois 11/3/2014
B
Utah 12/20/2018
B
Kansas 7/14/2021
B
Virginia 11/28/2016
B
Missouri 12/7/2016
B
Washington 11/3/2014
SRO Registrations
B
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Registered with this firm since 11/3/2014
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Registered with this firm since 11/3/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/17/2009 - 11/18/2014 | BOISE, ID | |
B | 07/17/2009 - 11/18/2014 | BOISE, ID | |
IA | 06/01/2009 - 08/11/2009 | BOISE, ID | |
B | 06/01/2009 - 08/11/2009 | BOISE, ID | |
IA | 07/11/2005 - 06/01/2009 | BOISE, ID | |
B | 07/11/2005 - 06/01/2009 | BOISE, ID | |
IA | 03/04/2005 - 07/12/2005 | SAN DIEGO, CA | |
B | 03/04/2005 - 07/12/2005 | BEVERLY HILLS, CA | |
IA | 02/25/2005 - 03/14/2005 | CARLSBAD, CA | |
B | 02/25/2005 - 03/14/2005 | WEEHAWKEN, NJ | |
IA | 06/23/2004 - 02/28/2005 | SAN DIEGO, CA | |
B | 11/21/2000 - 02/28/2005 | BEVERLY HILLS, CA |
For additional information about investment advisers or broker-dealers, please visit
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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.
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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.