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Detailed Report
KIEN CHI THAI
CRD#: 4598661
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 77 SUGAR CREEK CENTER BLVD
STE 100
SUGAR LAND, TX 77478
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (1 year)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2006 - Present (18 years)
License(s)

State Registrations

B
Alabama 2/20/2015
B
Michigan 2/20/2015
B
Alaska 2/20/2015
B
New Jersey 1/20/2021
B
Arizona 2/24/2010
B
New York 12/8/2006
B
California 12/8/2006
B
North Carolina 8/2/2022
B
Colorado 12/8/2006
B
Ohio 4/6/2020
B
Connecticut 2/20/2015
B
Oklahoma 12/8/2006
B
Delaware 1/20/2021
B
Pennsylvania 7/15/2021
B
District of Columbia 1/3/2020
B
Rhode Island 4/9/2020
B
Florida 6/29/2020
B
South Carolina 1/20/2021
B
Indiana 11/14/2014
B
Tennessee 2/20/2015
B
Kansas 3/10/2023
IA
Texas 7/7/2006
B
Kentucky 7/3/2017
B
Texas 7/17/2006
B
Maine 2/20/2015
B
Virginia 2/20/2015
B
Massachusetts 2/20/2015
B
Washington 12/2/2021

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)
77 SUGAR CREEK CENTER BLVD STE 100, SUGAR LAND, TX 77478
Registered with this firm since 7/7/2006
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
77 SUGAR CREEK CENTER BLVD STE 100, SUGAR LAND, TX 77478
Registered with this firm since 7/17/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/14/2005 - 10/05/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) HOUSTON, TX
B
 05/14/2005 - 10/05/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
 08/03/2004 - 04/15/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) CHICAGO, IL
B
 02/16/2004 - 04/15/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
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.