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Detailed Report
RUPAL MAHESH JHAVERI
RUPAL M JHAVERI
CRD#: 4353796
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10490 LITTLE PATUXENT PKWY STE 500
[M3-RBO]
COLUMBIA, MD 21044
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2010 (8 years)2 FIRMS2010 - 2015 (4 years)2 FIRMS2015 - 2018 (3 years)2 FIRMS2024 - Present (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2018 - 2024 (5 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2001 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2019 - 2024 (5 years)
License(s)

State Registrations

B
California 4/15/2024
IA
Maryland 4/15/2024
B
Colorado 4/15/2024
B
Massachusetts 4/15/2024
B
Delaware 4/15/2024
B
New York 4/15/2024
B
District of Columbia 4/15/2024
B
North Carolina 4/15/2024
B
Florida 4/15/2024
B
Oregon 4/15/2024
B
Georgia 4/15/2024
B
Pennsylvania 4/15/2024
B
Hawaii 11/6/2024
B
South Carolina 4/15/2024
B
Kansas 4/15/2024
B
Virginia 4/15/2024
B
Maryland 4/15/2024

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)
10490 LITTLE PATUXENT PKWY STE 500 [M3-RBO], COLUMBIA, MD 21044
Registered with this firm since 4/15/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10490 LITTLE PATUXENT PKWY STE 500 [M3-RBO], COLUMBIA, MD 21044
Registered with this firm since 4/15/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/09/2019 - 04/18/2024 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WASHINGTON, DC
B
 11/21/2018 - 04/18/2024 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WASHINGTON, DC
IA
 01/28/2015 - 05/02/2018 CAPITAL ONE ADVISORS, LLC (CRD#:136865) Laurel, MD
B
 01/02/2015 - 05/02/2018 CAPITAL ONE INVESTING, LLC (CRD#:45744) McLean, VA
IA
 04/27/2010 - 01/28/2015 CAPITAL ONE FINANCIAL ADVISORS LLC (CRD#:127236) MELVILLE, NY
B
 04/27/2010 - 01/02/2015 CAPITAL ONE INVESTMENT SERVICES LLC (CRD#:25658) FREDERICK, MD
IA
 06/28/2002 - 05/07/2010 CHEVY CHASE FINANCIAL SERVICES (CRD#:14894) BETHESDA, MD
B
 03/08/2002 - 05/01/2010 CHEVY CHASE FINANCIAL SERVICES (CRD#:14894) BETHESDA, MD
B
 04/26/2001 - 11/28/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, 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.