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Detailed Report
JOSEPH PLATON ABAD
JON PLATON ABAD
CRD#: 4412305
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 325 SHARON PARK DR
MENLO PARK, CA 94025
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (1 year)2 FIRMS2003 - 2006 (2 years)2 FIRMS2006 - 2011 (5 years)2 FIRMS2011 - Present (14 years)
License(s)

State Registrations

B
Arizona 1/3/2011
B
Kentucky 10/31/2022
B
California 1/3/2011
B
Minnesota 1/7/2020
IA
California 1/3/2011
B
Nevada 1/3/2011
B
Colorado 1/3/2011
B
New York 1/2/2013
B
Florida 1/3/2011
B
North Carolina 1/18/2023
B
Georgia 9/14/2021
B
Oregon 1/3/2011
B
Hawaii 1/3/2011
B
Virginia 10/23/2024
B
Idaho 10/18/2024
B
Wisconsin 5/9/2024
B
Indiana 10/12/2016

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)
325 SHARON PARK DR, MENLO PARK, CA 94025
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
325 SHARON PARK DR, MENLO PARK, CA 94025
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 01/05/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MENLO PARK, CA
B
 01/05/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MENLO PARK, CA
IA
 06/09/2003 - 01/12/2006 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN MATEO, CA
B
 06/09/2003 - 01/12/2006 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
IA
 11/06/2001 - 06/27/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN MATEO, CA
B
 08/13/2001 - 06/27/2003 UBS FINANCIAL SERVICES 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.