Individual Firm
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.
AVIS FAGU
CRD#: 4984316
IA
B
WELLS FARGO ADVISORSCRD#: 19616 2847 SMITH AVE
BALTIMORE, MD 21209
BALTIMORE, MD 21209
View By:
5/23/2007
Customer Dispute
Denied
State Registrations
B
Arizona 10/13/2016
B
Nevada 1/24/2025
B
California 1/17/2013
B
New Hampshire 12/19/2024
B
Connecticut 11/15/2021
B
New Jersey 7/17/2024
B
Delaware 1/17/2013
B
North Carolina 1/10/2025
B
District of Columbia 1/17/2013
B
Pennsylvania 1/17/2013
B
Florida 1/17/2013
B
Puerto Rico 7/5/2022
B
Georgia 11/8/2024
B
South Carolina 1/17/2013
B
Illinois 12/20/2013
B
Texas 1/17/2013
B
Maine 11/5/2021
IA
Texas 1/18/2013
B
Maryland 1/17/2013
B
Virginia 1/17/2013
IA
Maryland 1/17/2013
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/17/2013
B
Registered with this firm since 1/17/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 02/08/2013 | HUNT VALLEY, MD | |
B | 06/01/2009 - 02/08/2013 | HUNT VALLEY, MD | |
IA | 04/02/2007 - 06/01/2009 | HUNT VALLEY, MD | |
B | 04/02/2007 - 06/01/2009 | HUNT VALLEY, MD | |
IA | 09/23/2005 - 04/02/2007 | LUTHERVILLE, MD | |
B | 08/18/2005 - 04/02/2007 | LUTHERVILLE, MD |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.