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Detailed Report
CHRISTOPHER BENJAMIN STEELE
CRD#: 4822659
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6400 WESTOWN PKWY STE 115
WEST DES MOINES, IA 50266
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2017 (8 years)2 FIRMS2017 - Present (7 years)
Disclosure(s)
View By:
1/11/2013
Customer Dispute
Denied
6/19/2012
Criminal
Final Disposition
12/11/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/10/2017
B
Michigan 1/25/2019
IA
Arizona 1/13/2023
B
Minnesota 11/20/2017
B
California 11/10/2017
B
Missouri 8/1/2024
B
Colorado 8/1/2024
B
Nebraska 11/10/2017
B
Florida 11/14/2017
B
North Dakota 1/3/2023
B
Illinois 11/13/2017
B
Oregon 9/16/2021
B
Iowa 11/14/2017
B
South Dakota 11/15/2017
IA
Iowa 11/14/2017
B
Virginia 9/8/2020
B
Louisiana 11/10/2017
B
Wisconsin 7/15/2021
B
Massachusetts 1/11/2018

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)
6400 WESTOWN PKWY STE 115, WEST DES MOINES, IA 50266
Phoenix, AZ
Registered with this firm since 11/14/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6400 WESTOWN PKWY STE 115, WEST DES MOINES, IA 50266
Phoenix, AZ
Registered with this firm since 11/10/2017
Previous Registration(s)
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IA
 10/05/2009 - 11/15/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WEST DES MOINES, IA
B
 10/05/2009 - 11/15/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WEST DES MOINES, IA
IA
 12/15/2008 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) WEST DES MOINES, IA
B
 12/09/2008 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) WEST DES MOINES, IA
IA
 04/02/2007 - 11/06/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WEST DES MOINES, IA
B
 04/02/2007 - 11/06/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WEST DES MOINES, IA
IA
 10/12/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) WEST DES MOINES, IA
B
 09/03/2004 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) WEST DES MOINES, IA
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.