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Detailed Report
RAYMOND A OLOTEO
Raymond ALARCIO Oloteo
CRD#: 4408331
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2001 (<1 year)2 FIRMS2001 - 2002 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2020 (10 years)2 FIRMS2020 - Present (4 years)BTD AMERITRADE, INC. (CRD# 7870)2002 - 2006 (4 years)IATD AMERITRADE, INC. (CRD# 7870)2003 - 2006 (3 years)
License(s)

State Registrations

B
Arizona 9/2/2020
B
New York 9/2/2020
B
California 9/2/2020
B
North Carolina 9/2/2020
IA
California 9/2/2020
B
Ohio 5/15/2024
B
Colorado 9/2/2020
B
Oregon 9/2/2020
B
Idaho 7/15/2021
B
South Carolina 1/6/2021
B
Missouri 8/8/2024
B
Texas 9/2/2020
B
Nevada 9/2/2020
IA
Texas 9/2/2020
B
New Mexico 8/17/2021
B
Washington 9/2/2020

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)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
GLENDORA, CA
Registered with this firm since 9/2/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
GLENDORA, CA
Registered with this firm since 9/2/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2009 - 09/03/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 10/23/2009 - 09/03/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
IA
 01/04/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
B
 01/04/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
IA
 09/12/2003 - 12/04/2006 TD AMERITRADE, INC. (CRD#:7870) BEVERLY HILLS, CA
B
 10/10/2002 - 12/04/2006 TD AMERITRADE, INC. (CRD#:7870) BEVERLY HILLS, CA
IA
 12/03/2001 - 10/10/2002 UBS PAINEWEBBER INC. (CRD#:8174) BEVERLY HILLS, CA
B
 11/26/2001 - 10/10/2002 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
 10/30/2001 - 12/21/2001 INTERFIRST CAPITAL CORPORATION (CRD#:7659) LOS ANGELES, CA
B
 08/20/2001 - 10/08/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
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.