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
ERICA RHEA PISCIOTTA
ERICA RHEA SLICKER
CRD#: 4345255
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 17 COWBOYS WAY STE 500
FRISCO, TX 75034
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2015 (8 years)2 FIRMS2015 - Present (9 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2007 (4 years)BMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)2001 - 2002 (1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)2001 - 2001 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2007 (<1 year)
License(s)

State Registrations

B
Alabama 12/20/2019
B
Nebraska 8/22/2019
B
Alaska 5/29/2015
B
Nevada 9/12/2019
B
Arizona 5/29/2015
B
New Hampshire 3/6/2018
B
Arkansas 3/16/2018
B
New Jersey 5/29/2015
B
California 5/29/2015
B
New Mexico 5/29/2015
B
Colorado 5/29/2015
B
New York 9/12/2019
B
Delaware 1/16/2020
B
North Carolina 3/7/2018
B
Florida 5/29/2015
B
Ohio 5/29/2015
B
Georgia 5/29/2015
B
Oklahoma 5/29/2015
B
Hawaii 10/29/2020
B
Oregon 5/29/2015
B
Illinois 5/29/2015
B
Pennsylvania 9/12/2019
B
Indiana 3/6/2018
B
Puerto Rico 2/6/2020
B
Kansas 4/9/2018
B
South Carolina 10/29/2020
B
Louisiana 3/6/2018
B
Tennessee 7/17/2023
B
Maine 3/6/2018
B
Texas 5/29/2015
B
Maryland 4/10/2018
IA
Texas 5/29/2015
B
Massachusetts 9/28/2020
B
Utah 3/1/2016
B
Michigan 3/6/2018
B
Virginia 3/6/2018
B
Minnesota 10/30/2018
B
Washington 3/6/2018
B
Mississippi 5/29/2015
B
Wisconsin 3/6/2020
B
Missouri 1/16/2020
B
Wyoming 5/29/2015
B
Montana 5/29/2015

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)
17 COWBOYS WAY STE 500, FRISCO, TX 75034
Registered with this firm since 5/29/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
17 COWBOYS WAY STE 500, FRISCO, TX 75034
Registered with this firm since 5/29/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/27/2007 - 06/22/2015 RBC CAPITAL MARKETS, LLC (CRD#:31194) PLANO, TX
B
 06/27/2007 - 06/22/2015 RBC CAPITAL MARKETS, LLC (CRD#:31194) PLANO, TX
IA
 03/16/2007 - 06/29/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TULSA, OK
B
 08/02/2002 - 06/29/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TULSA, OK
B
 08/23/2001 - 08/09/2002 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) NEW YORK, NY
B
 03/06/2001 - 08/22/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) 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.