Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CODY RICHARD DIAL
CRD#: 4860888
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 770 TAMALPAIS DR STE 220
[NN-RBO]
CORTE MADERA, CA 94925
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2006 - 2006 (<1 year)2 FIRMS2007 - 2011 (4 years)2 FIRMS2011 - Present (14 years)BA I M DISTRIBUTORS, INC. (CRD# 7369)2005 - 2006 (1 year)
License(s)

State Registrations

B
Arizona 3/16/2011
B
Michigan 10/23/2024
B
California 1/3/2011
B
Minnesota 9/23/2024
IA
California 1/3/2011
B
Montana 3/19/2024
B
Colorado 1/3/2011
B
Nevada 1/18/2023
IA
Colorado 1/3/2011
B
North Carolina 3/31/2020
B
Florida 12/12/2017
B
Oregon 6/23/2021
B
Georgia 2/15/2024
B
Texas 9/23/2021
B
Hawaii 1/19/2012
IA
Texas 9/23/2021
B
Illinois 4/5/2024
B
Virginia 8/4/2022

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)
770 TAMALPAIS DR STE 220 [NN-RBO], CORTE MADERA, CA 94925
427 CORTE MADERA TOWN CTR, CORTE MADERA, CA 94925
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
770 TAMALPAIS DR STE 220 [NN-RBO], CORTE MADERA, CA 94925
427 CORTE MADERA TOWN CTR, CORTE MADERA, CA 94925
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/24/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN MATEO, CA
B
 01/24/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN MATEO, CA
IA
 08/10/2006 - 10/31/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) DENVER, CO
B
 08/10/2006 - 10/31/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) DENVER, CO
B
 01/01/2005 - 06/12/2006 A I M DISTRIBUTORS, INC. (CRD#:7369) HOUSTON, TX
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.