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Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2010 - 2010 (<1 year)2 FIRMS2001 - 2003 (1 year)3 FIRMS2003 - 2003 (<1 year)2 FIRMS2003 - 2004 (1 year)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - Present (7 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2015 (1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2010 - 2013 (3 years)BGUARANTY BROKERAGE SERVICES, INC. (CRD# 23302)2006 - 2009 (3 years)IABBVA WEALTH SOLUTIONS INC. (CRD# 110476)2010 - 2015 (4 years)
Disclosure(s)
View By:
10/17/2019
Judgment / Lien
1/11/2018
Financial
Pending
6/2/2011
Customer Dispute
Settled
1/3/2003
Employment Separation After Allegations
License(s)

State Registrations

B
California 11/22/2023

B
Texas 3/31/2017

B
Colorado 2/9/2023

IA
Texas 3/31/2017

B
Florida 11/25/2024

B
Washington 4/9/2021

B
New York 12/4/2019

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)
235 W 20TH ST, HOUSTON, TX 77008
2005 TAYLOR ST, HOUSTON, TX 77007
Registered with this firm since 3/31/2017

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
235 W 20TH ST, HOUSTON, TX 77008
2005 TAYLOR ST, HOUSTON, TX 77007
Registered with this firm since 3/31/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/08/2015 - 04/04/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
04/08/2015 - 04/04/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
IA
10/15/2010 - 04/08/2015 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) HOUSTON, TX
B
05/16/2013 - 04/08/2015 BBVA SECURITIES INC. (CRD#:27060) RICHMOND, TX
B
02/08/2010 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) SUGARLAND, TX
IA
04/07/2010 - 10/15/2010 ST JOHNS WEALTH MANAGEMENT (CRD#:105564) SUGARLAND, TX
IA
03/01/2010 - 03/16/2010 BBVA COMPASS INVESTMENT SOLUTIONS, INC. (CRD#:17086) SUGARLAND, TX
B
01/13/2006 - 12/23/2009 GUARANTY BROKERAGE SERVICES, INC. (CRD#:23302) SUGAR LAND, TX
IA
03/23/2005 - 08/12/2005 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) FORT WORTH, TX
B
03/02/2005 - 08/12/2005 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
IA
07/24/2003 - 09/13/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) FRISCO, TX
B
07/24/2003 - 09/13/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
IA
02/18/2003 - 05/08/2003 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) DALLAS, TX
B
02/24/2003 - 05/08/2003 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
B
02/24/2003 - 05/08/2003 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
IA
05/18/2001 - 01/14/2003 MORGAN STANLEY (CRD#:7556) DALLAS, TX
B
05/04/2001 - 01/14/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.