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
JOEL A SWOGGER
CRD#: 4862009
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 299 S MAIN ST 7TH FL
[MK/ME-RBO]
SALT LAKE CITY, UT 84111
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2011 (4 years)2 FIRMS2011 - Present (14 years)
License(s)

State Registrations

B
Arizona 11/26/2013
B
Nevada 12/2/2021
B
California 12/2/2021
B
New Mexico 12/2/2021
B
Colorado 12/2/2021
B
Oregon 12/14/2021
B
Delaware 3/29/2023
B
Pennsylvania 12/2/2021
B
Florida 12/2/2021
B
Texas 12/2/2021
B
Georgia 12/2/2021
IA
Texas 12/3/2021
B
Hawaii 12/2/2021
B
Utah 1/3/2011
B
Idaho 12/2/2021
IA
Utah 1/3/2011
B
Indiana 3/8/2022
B
Virginia 12/2/2021
B
Michigan 3/2/2022
B
Washington 12/14/2021
B
Minnesota 12/14/2021
B
Wyoming 11/15/2013
B
Missouri 2/9/2022

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)
299 S MAIN ST 7TH FL [MK/ME-RBO], SALT LAKE CITY, UT 84111
995 E FORT UNION BLVD, MIDVALE, UT 84047
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
299 S MAIN ST 7TH FL [MK/ME-RBO], SALT LAKE CITY, UT 84111
995 E FORT UNION BLVD, MIDVALE, UT 84047
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/29/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PROVO, UT
B
 03/22/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PROVO, UT
IA
 02/01/2005 - 03/20/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) SALT LAKE CITY, UT
B
 01/01/2005 - 03/20/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.