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Detailed Report
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2003 - 2008 (4 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (13 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2003 (1 year)
Disclosure(s)
View By:
12/6/2016
Customer Dispute
Settled
7/17/2012
Customer Dispute
Settled
4/30/2012
Customer Dispute
Settled
4/10/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/11/2012
B
Idaho 6/20/2017
B
California 2/8/2012
IA
Montana 2/9/2012
B
Colorado 2/8/2012
B
Montana 2/10/2012
B
Florida 2/8/2012
B
Nevada 11/28/2022
B
Georgia 10/25/2017
B
Wyoming 2/22/2022

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)
2350 US HWY 93 N, KALISPELL, MT 59901
215 2ND AVE E, KALISPELL, MT 59901
Registered with this firm since 2/9/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2350 US HWY 93 N, KALISPELL, MT 59901
215 2ND AVE E, KALISPELL, MT 59901
Registered with this firm since 2/8/2012
Previous Registration(s)
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IA
 06/01/2009 - 02/16/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) COEUR D'ALENE, ID
B
 06/01/2009 - 02/16/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) COEUR D'ALENE, ID
IA
 02/05/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) KALISPELL, MT
B
 02/04/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) KALISPELL, MT
IA
 03/31/2003 - 02/15/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) BILLINGS, MT
B
 03/28/2003 - 02/15/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) BILLINGS, MT
B
 07/09/2001 - 03/31/2003 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.