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Detailed Report
JOHN PAUL MUHLBAUER
JOHN MULBAUER
CRD#: 4380670
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 420 MONTGOMERY ST 7TH FL
[NF*/NG-RBO]
SAN FRANCISCO, CA 94104
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2002 (1 year)2 FIRMS2005 - 2008 (3 years)IAWELLS FARGO ADVISORS (CRD# 19616)2024 - Present (1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2023 - Present (1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2020 - 2023 (2 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2002 - 2005 (2 years)
License(s)

State Registrations

B
California 3/19/2024
IA
California 3/19/2024

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)
420 MONTGOMERY ST 7TH FL [NF*/NG-RBO], SAN FRANCISCO, CA 94104
SAN MATEO, CA
Registered with this firm since 3/19/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
420 MONTGOMERY ST 7TH FL [NF*/NG-RBO], SAN FRANCISCO, CA 94104
SAN MATEO, CA
Registered with this firm since 7/3/2023
Previous Registration(s)
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B
 09/08/2020 - 06/16/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) Palo Alto, CA
IA
 03/01/2005 - 06/04/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 03/01/2005 - 06/04/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 07/12/2002 - 03/03/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
IA
 10/12/2001 - 07/08/2002 MORGAN STANLEY (CRD#:7556) SANTA BARBARA, CA
B
 05/15/2001 - 07/08/2002 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.