Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2011 (6 years)2 FIRMS2011 - Present (14 years)
Disclosure(s)
View By:
9/30/2016
Financial
Pending
License(s)

State Registrations

IA
California 1/3/2011
B
Hawaii 4/1/2024
B
Colorado 6/20/2018
B
Wisconsin 1/3/2011
IA
Colorado 6/20/2018
IA
Wisconsin 1/3/2011

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)
143 UNION BLVD, LAKEWOOD, CO 80228
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
143 UNION BLVD, LAKEWOOD, CO 80228
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/01/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) GREEN BAY, WI
B
 05/27/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) GREEN BAY, WI
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.