Individual Firm
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ROBERT PETER LEWIS
CRD#: 4383491
IA
B
WELLS FARGO ADVISORSCRD#: 19616 550 E TANGERINE RD
ORO VALLEY, AZ 85755
ORO VALLEY, AZ 85755
View By:
8/30/2024
Customer Dispute
Settled
State Registrations
B
Arizona 10/20/2022
B
Nevada 10/20/2022
IA
Arizona 10/21/2022
B
Oregon 12/22/2024
B
California 11/25/2024
B
Texas 10/20/2022
B
Colorado 10/20/2022
IA
Texas 10/20/2022
B
Florida 10/20/2022
B
Utah 1/25/2024
B
Idaho 3/31/2025
B
Virginia 3/5/2024
B
Louisiana 10/30/2024
B
Washington 1/22/2025
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/20/2022
B
Registered with this firm since 10/20/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 10/22/2022 | TUCSON, AZ | |
B | 10/01/2012 - 10/22/2022 | TUCSON, AZ | |
IA | 06/25/2007 - 10/01/2012 | TUCSON, AZ | |
B | 06/15/2007 - 10/01/2012 | TUCSON, AZ | |
IA | 08/04/2004 - 06/11/2007 | TUCSON, AZ | |
B | 08/07/2001 - 06/11/2007 | TUCSON, AZ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.