Individual Firm
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DANIEL IRWIN ALLER
CRD#: 4689732
IA
B
WELLS FARGO ADVISORSCRD#: 19616 6781 N PALM AVE STE 201
[NT/NV-RBO]
FRESNO, CA 93704
[NT/NV-RBO]
FRESNO, CA 93704
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2/8/2008
Customer Dispute
Denied
State Registrations
B
Arizona 5/21/2021
B
Pennsylvania 9/17/2014
B
California 1/3/2011
B
South Carolina 8/22/2019
IA
California 1/3/2011
B
Texas 1/11/2022
B
Colorado 11/13/2019
IA
Texas 1/13/2022
B
Georgia 9/1/2023
B
Virginia 5/24/2024
B
Nevada 10/21/2015
B
Washington 5/24/2024
SRO Registrations
B
B
B
B
B
B
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 1/3/2011
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/07/2005 - 01/03/2011 | REEDLEY, CA | |
B | 04/07/2005 - 01/03/2011 | REEDLEY, CA | |
IA | 06/16/2004 - 01/26/2005 | FRESNO, CA | |
B | 03/03/2004 - 01/26/2005 | PURCHASE, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.