Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KENNETH DAVID IBBETSON
CRD#: 4398092
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 135 S STATE COLLEGE BLVD STE 550
BREA, CA 92821
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - Present (8 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2009 (8 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (6 years)
Disclosure(s)
View By:
2/3/2024
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/2/2019
B
Ohio 6/13/2019
B
California 8/19/2016
B
Oklahoma 9/28/2022
IA
California 8/19/2016
B
Oregon 5/4/2023
B
Colorado 8/19/2016
B
Tennessee 4/26/2018
B
Florida 4/3/2024
B
Texas 8/19/2016
B
Georgia 12/2/2024
IA
Texas 8/19/2016
B
Hawaii 8/19/2016
B
Utah 8/19/2016
B
Idaho 11/19/2020
B
Virginia 2/23/2017
B
Michigan 8/19/2016
B
Washington 8/19/2016
B
Nevada 8/19/2016
B
Wisconsin 4/19/2023
B
New Jersey 9/26/2024

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)
135 S STATE COLLEGE BLVD STE 550, BREA, CA 92821
Registered with this firm since 8/19/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
135 S STATE COLLEGE BLVD STE 550, BREA, CA 92821
Registered with this firm since 8/19/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 08/26/2016 MORGAN STANLEY (CRD#:149777) BREA, CA
B
 06/01/2009 - 08/26/2016 MORGAN STANLEY (CRD#:149777) BREA, CA
IA
 08/07/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LONG BEACH, CA
B
 06/05/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LONG BEACH, CA
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.