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Detailed Report
STEPHANIE HWEI MIN NYCE
STEPHANIE HWEI MIN MOSS, HWEI MIN MOSS STEPHANIE
CRD#: 4855574
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4900 HOPYARD RD STE 105
PLEASANTON, CA 94588
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2007 (3 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Arizona 8/19/2021
B
Ohio 9/15/2015
B
California 8/3/2009
B
Texas 10/24/2011
IA
California 8/3/2009
IA
Texas 11/2/2011
B
Florida 12/20/2016
B
Utah 8/3/2009
B
Hawaii 6/28/2018
B
Virginia 2/13/2020
B
Maryland 11/23/2010
B
Washington 11/23/2010
B
Minnesota 2/19/2025
B
Wyoming 4/18/2022
B
Nevada 4/4/2025

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)
4900 HOPYARD RD STE 105, PLEASANTON, CA 94588
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 8/3/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4900 HOPYARD RD STE 105, PLEASANTON, CA 94588
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 8/3/2009
Previous Registration(s)
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IA
 12/05/2007 - 02/12/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 12/05/2007 - 02/12/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
IA
 11/26/2004 - 12/14/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) PASADENA, CA
B
 11/11/2004 - 12/14/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) PASADENA, CA
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.