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Detailed Report
JOSEPH L KARAM
CRD#: 4758328
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 30 S WACKER DR STE 4000
[GS-RBO]
CHICAGO, IL 60606
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2007 (3 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2014 (4 years)2 FIRMS2014 - 2018 (4 years)2 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Alabama 1/17/2023
B
Nebraska 1/17/2023
B
Arizona 1/3/2023
B
Nevada 3/5/2024
B
California 8/23/2018
B
New Jersey 1/17/2023
B
Colorado 1/17/2023
B
New York 4/14/2020
B
District of Columbia 2/2/2023
B
North Carolina 5/14/2021
B
Florida 8/23/2018
B
Ohio 11/30/2021
B
Georgia 8/23/2018
B
Oregon 1/17/2023
B
Illinois 8/23/2018
B
Pennsylvania 6/1/2023
IA
Illinois 8/23/2018
B
South Carolina 6/17/2022
B
Indiana 6/17/2022
B
Tennessee 1/17/2023
B
Maryland 11/29/2021
B
Texas 1/3/2023
B
Massachusetts 1/17/2023
IA
Texas 1/5/2023
B
Michigan 8/23/2018
B
Utah 6/17/2022
B
Minnesota 6/17/2022
B
Virginia 1/17/2023
B
Missouri 1/17/2023
B
Wisconsin 8/23/2018

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)
30 S WACKER DR STE 4000 [GS-RBO], CHICAGO, IL 60606
500 LAKE COOK RD STES 175 & 300, DEERFIELD, IL 60015
Registered with this firm since 8/23/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
30 S WACKER DR STE 4000 [GS-RBO], CHICAGO, IL 60606
500 LAKE COOK RD STES 175 & 300, DEERFIELD, IL 60015
Registered with this firm since 8/23/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/16/2014 - 09/18/2018 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NORTHBROOK, IL
B
 01/16/2014 - 09/18/2018 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NORTHBROOK, IL
IA
 06/01/2009 - 01/22/2014 MORGAN STANLEY (CRD#:149777) RIVERWOODS, IL
B
 06/01/2009 - 01/22/2014 MORGAN STANLEY (CRD#:149777) RIVERWOODS, IL
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) RIVERWOODS, IL
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) RIVERWOODS, IL
IA
 04/28/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) RIVERWOODS, IL
B
 04/06/2004 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) RIVERWOODS, IL
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.