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Detailed Report
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - Present (10 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2012 (7 years)BEDWARD JONES (CRD# 250)2005 - 2005 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)
Disclosure(s)
View By:
4/8/2014
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 5/13/2014
B
Oklahoma 5/1/2024
IA
Arizona 5/13/2014
B
Oregon 6/10/2024
B
California 3/23/2016
B
Pennsylvania 1/11/2024
B
Colorado 7/6/2020
B
South Carolina 7/9/2020
B
Connecticut 2/2/2024
B
Tennessee 1/30/2023
B
Illinois 12/7/2020
B
Texas 2/25/2015
B
Michigan 7/9/2020
IA
Texas 2/25/2015
B
Minnesota 5/22/2017
B
Utah 11/13/2020
B
Missouri 11/9/2021
B
Virginia 5/1/2024
B
Nevada 3/3/2021
B
Washington 10/30/2023
B
New Hampshire 8/15/2023
B
Wyoming 9/15/2021
B
New Mexico 7/7/2021

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)
8315 E BROADWAY, TUCSON, AZ 85710
7191 E GOLF LINKS RD, TUCSON, AZ 85730
Registered with this firm since 5/13/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
8315 E BROADWAY, TUCSON, AZ 85710
7191 E GOLF LINKS RD, TUCSON, AZ 85730
Registered with this firm since 4/28/2014
Previous Registration(s)
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IA
 10/01/2012 - 03/21/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) TUCSON, AZ
B
 10/01/2012 - 03/21/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) TUCSON, AZ
IA
 04/21/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TUCSON, AZ
B
 07/19/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TUCSON, AZ
B
 01/01/2005 - 06/15/2005 EDWARD JONES (CRD#:250) ST. LOUIS, MO
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.