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Detailed Report
ERICK SANTIAGO BLOCK
CRD#: 4580025
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 500 SILVER SPUR RD
3RD FL STE 300
ROLLING HILLS ESTATES, CA 90275
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2005 (<1 year)2 FIRMS2008 - 2015 (6 years)2 FIRMS2015 - 2020 (4 years)2 FIRMS2020 - Present (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2008 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2006 - 2007 (1 year)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 2/7/2025
B
Nevada 1/13/2020
B
Arkansas 1/4/2022
B
New York 1/13/2020
B
California 1/13/2020
B
North Carolina 1/13/2020
IA
California 1/14/2020
B
Oregon 1/13/2020
B
District of Columbia 1/13/2020
B
Pennsylvania 1/13/2020
B
Illinois 1/13/2020
B
Texas 1/13/2020
B
Massachusetts 1/13/2020
IA
Texas 1/14/2020
B
Mississippi 1/13/2020
B
Washington 1/13/2020
B
Montana 1/13/2020

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)
500 SILVER SPUR RD 3RD FL STE 300, ROLLING HILLS ESTATES, CA 90275
PVP, CA
Registered with this firm since 1/14/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
500 SILVER SPUR RD 3RD FL STE 300, ROLLING HILLS ESTATES, CA 90275
PVP, CA
Registered with this firm since 1/13/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/13/2015 - 01/15/2020 D.A. DAVIDSON & CO. (CRD#:199) LONG BEACH, CA
B
 02/12/2015 - 01/15/2020 D.A. DAVIDSON & CO. (CRD#:199) LONG BEACH, CA
IA
 07/11/2008 - 02/18/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GLENDALE, CA
B
 06/23/2008 - 02/18/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GLENDALE, CA
B
 05/29/2007 - 07/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, CA
B
 03/02/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) GLENDALE, CA
B
 10/31/2005 - 01/09/2006 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) SCOTTSDALE, AZ
B
 07/20/2005 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 01/01/2005 - 05/05/2005 CROWELL, WEEDON & CO. (CRD#:193) LOS ANGELES, 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.