Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
PREM RANIGA
CRD#: 4333307
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5 PARK PLAZA 19TH & 20TH FLS
[LT/SB/SG-RBO]
IRVINE, CA 92614
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2007 (6 years)2 FIRMS2007 - 2013 (6 years)2 FIRMS2013 - Present (11 years)
License(s)

State Registrations

B
Arizona 9/20/2013
B
Kansas 2/11/2025
B
California 9/20/2013
B
Michigan 9/20/2013
IA
California 9/20/2013
B
Missouri 12/5/2023
B
Colorado 12/5/2023
B
Montana 1/4/2021
B
Connecticut 9/24/2013
B
Nevada 11/7/2019
B
Delaware 10/16/2013
B
North Carolina 8/23/2017
B
Florida 4/17/2023
B
Ohio 7/14/2021
B
Georgia 10/14/2013
B
Texas 9/20/2013
B
Hawaii 1/8/2025
IA
Texas 9/20/2013
B
Illinois 9/20/2013
B
Utah 10/28/2016
B
Iowa 1/16/2025
B
Virginia 6/2/2023

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)
5 PARK PLAZA 19TH & 20TH FLS [LT/SB/SG-RBO], IRVINE, CA 92614
IRVINE, CA
Registered with this firm since 9/20/2013
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5 PARK PLAZA 19TH & 20TH FLS [LT/SB/SG-RBO], IRVINE, CA 92614
IRVINE, CA
Registered with this firm since 9/20/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/18/2007 - 10/17/2013 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) LOS ANGELES, CA
B
 10/18/2007 - 10/17/2013 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) LOS ANGELES, CA
IA
 06/06/2001 - 11/05/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOS ANGELES, CA
B
 02/12/2001 - 11/05/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOS ANGELES, CA
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.