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ALLEN JAY VAN MAANEN
ALLEN VAN MAANEN
CRD#: 4847686
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Richmond, TX
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2010 - 2022 (12 years)2 FIRMS2022 - Present (2 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2004 - 2010 (5 years)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2005 - 2010 (5 years)
License(s)

State Registrations

B
Texas 12/8/2022

IA
Texas 12/8/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Richmond, TX
Registered with this firm since 12/8/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Richmond, TX
Registered with this firm since 12/8/2022

Previous Registration(s)
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IA
02/12/2010 - 12/14/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HOUSTON, TX
B
02/19/2010 - 12/14/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HOUSTON, TX
IA
01/07/2005 - 01/12/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) HOUSTON, TX
B
09/29/2004 - 01/12/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) HOUSTON, TX
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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.