Individual Firm
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JOSE VALDEZ
CRD#: 4677380
IA
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WELLS FARGO ADVISORSCRD#: 19616 2099 S STATE COLLEGE BLVD
STE 101
ANAHEIM, CA 92806
STE 101
ANAHEIM, CA 92806
View By:
8/9/2022
Judgment / Lien
State Registrations
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Arizona 9/9/2021
B
Nevada 5/5/2017
B
California 5/5/2017
B
New Jersey 7/14/2023
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California 5/8/2017
B
North Carolina 1/13/2025
B
Florida 9/9/2021
B
Tennessee 5/10/2023
B
Georgia 2/24/2022
B
Texas 3/5/2020
B
Illinois 4/29/2020
B
Washington 11/3/2020
B
Nebraska 9/28/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 5/8/2017
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Registered with this firm since 5/5/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 05/18/2017 | GARDEN GROVE, CA | |
B | 10/01/2012 - 05/18/2017 | GARDEN GROVE, CA | |
IA | 05/14/2009 - 10/01/2012 | GARDEN GROVE, CA | |
B | 05/14/2009 - 10/01/2012 | GARDEN GROVE, CA | |
IA | 09/30/2008 - 03/26/2009 | RIVERSIDE, CA | |
B | 09/29/2008 - 03/26/2009 | RIVERSIDE, CA | |
IA | 12/12/2007 - 10/07/2008 | ONTARIO, CA | |
B | 11/30/2007 - 10/07/2008 | ONTARIO, CA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.