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Detailed Report
DEEPAK KUMAR VERMA
DEEPAK VERMA
CRD#: 4829966
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 235 S K ST
LIVERMORE, CA 94550
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (<1 year)2 FIRMS2005 - 2007 (2 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (14 years)
Disclosure(s)
View By:
5/14/2008
Customer Dispute
Denied
3/14/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/11/2021
B
Nevada 8/11/2014
B
California 1/3/2011
B
Texas 1/6/2014
IA
California 1/3/2011
IA
Texas 1/6/2014
B
Colorado 10/14/2022
B
Washington 1/6/2014
B
Illinois 10/30/2015

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)
235 S K ST, LIVERMORE, CA 94550
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
235 S K ST, LIVERMORE, CA 94550
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/23/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FREMONT, CA
B
 03/23/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FREMONT, CA
IA
 03/21/2007 - 01/02/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN JOSE, CA
B
 03/21/2007 - 01/02/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN JOSE, CA
IA
 03/18/2005 - 03/21/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN JOSE, CA
B
 03/02/2005 - 03/21/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN JOSE, CA
B
 08/02/2004 - 01/03/2005 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 08/02/2004 - 01/03/2005 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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.