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ROBERTO ALEJANDRO GARFIAS
ROBERTO ALEJANDRO GARFIAS MURILLO
CRD#: 4836070
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 7181 REGIONAL ST
DUBLIN, CA 94568
Registration History
19952000200520102015202020252 FIRMS2005 - 2011 (5 years)2 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - 2023 (8 years)2 FIRMS2023 - Present (2 years)
Disclosure(s)
View By:
6/1/2023
Judgment / Lien
12/27/2022
Judgment / Lien
12/3/2019
Judgment / Lien
12/12/1994
Criminal
Final Disposition
6/27/1994
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 1/3/2023

B
Nevada 1/3/2023

B
California 1/3/2023

B
Oregon 3/13/2023

IA
California 1/4/2023

IA
Texas 1/3/2023

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, 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)
7181 REGIONAL ST, DUBLIN, CA 94568
Registered with this firm since 1/3/2023

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
7181 REGIONAL ST, DUBLIN, CA 94568
Registered with this firm since 1/3/2023

Previous Registration(s)
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IA
06/09/2014 - 01/05/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKLAND, CA
B
06/06/2014 - 01/05/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKLAND, CA
IA
01/03/2011 - 06/09/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) OAKLAND, CA
B
01/03/2011 - 06/09/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) OAKLAND, CA
IA
11/23/2005 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) OAKLAND, CA
B
11/14/2005 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) OAKLAND, CA
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B
Broker
IA
Investment Adviser
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.