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ALAN WALTER CHAIS
CRD#: 44085
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 19950 W COUNTRY CLUB DR 9TH FL
AVENTURA, FL 33180
Registration History
1970197519801985199019952000200520102015202020252 FIRMS1993 - 2008 (14 years)2 FIRMS2008 - Present (16 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1974 - 1988 (13 years)BDUPONT WALSTON, INCORPORATED (CRD# 870)1973 - 1975 (2 years)BDUPONT GLORE FORGAN INCORPORATED (CRD# 1000003)1971 - 1973 (2 years)BWEIS SECURITIES, INC. (CRD# 880)1970 - 1971 (<1 year)
Disclosure(s)
View By:
11/7/2002
Customer Dispute
Settled
License(s)

State Registrations

B
California 6/6/2008

B
Missouri 11/19/2013

B
Colorado 6/24/2014

B
New Jersey 5/12/2017

B
Connecticut 6/6/2008

B
New Mexico 6/6/2008

B
Florida 6/6/2008

B
New York 6/6/2008

IA
Florida 6/9/2008

B
North Carolina 11/18/2015

B
Georgia 4/21/2021

B
Ohio 3/16/2018

B
Maryland 6/6/2008

B
Pennsylvania 6/6/2008

B
Massachusetts 11/16/2020

B
Virginia 12/8/2009

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)
19950 W COUNTRY CLUB DR 9TH FL, AVENTURA, FL 33180
NORTH MIAMI BEACH, FL
Registered with this firm since 6/9/2008

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
19950 W COUNTRY CLUB DR 9TH FL, AVENTURA, FL 33180
NORTH MIAMI BEACH, FL
Registered with this firm since 6/6/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/31/1993 - 06/26/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AVENTURA, FL
B
07/31/1993 - 06/26/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AVENTURA, FL
B
02/15/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
03/14/1974 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
07/02/1973 - 09/05/1975 DUPONT WALSTON, INCORPORATED (CRD#:870)
B
06/10/1971 - 07/02/1973 DUPONT GLORE FORGAN INCORPORATED (CRD#:1000003)
B
12/11/1970 - 07/02/1971 WEIS SECURITIES, INC. (CRD#:880)
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B
Broker
IA
Investment Adviser
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.