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Detailed Report
SHANE FRANCIS PITKIN
CRD#: 4573629
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6309 UNIVERSITY AVE
CEDAR FALLS, IA 50613
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BEDWARD JONES (CRD# 250)2002 - 2012 (9 years)IAEDWARD JONES (CRD# 250)2007 - 2012 (5 years)
Disclosure(s)
View By:
4/8/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 4/18/2017
B
Nevada 8/24/2021
B
District of Columbia 10/17/2023
B
Ohio 5/18/2021
B
Florida 5/30/2012
B
Pennsylvania 9/18/2024
B
Iowa 5/25/2012
B
South Dakota 10/20/2020
IA
Iowa 5/25/2012
B
Tennessee 2/2/2017
B
Kansas 11/17/2020
B
Texas 4/27/2020
B
Minnesota 5/25/2012
B
Washington 6/6/2017
B
Missouri 6/1/2012
B
Wisconsin 10/7/2015
B
Montana 1/13/2021

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)
6309 UNIVERSITY AVE, CEDAR FALLS, IA 50613
3806 PHEASANT LN, WATERLOO, IA 50701
Registered with this firm since 5/25/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6309 UNIVERSITY AVE, CEDAR FALLS, IA 50613
3806 PHEASANT LN, WATERLOO, IA 50701
Registered with this firm since 5/25/2012
Previous Registration(s)
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IA
 01/11/2007 - 05/30/2012 EDWARD JONES (CRD#:250) NEW HAMPTON, IA
B
 10/14/2002 - 05/30/2012 EDWARD JONES (CRD#:250) NEW HAMPTON, IA
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.