Individual Firm
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IVY H. LUU
CRD#: 5040537
IA
B
WELLS FARGO ADVISORSCRD#: 19616 4888 SAN FELIPE RD
STE 1
SAN JOSE, CA 95135
STE 1
SAN JOSE, CA 95135
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4/21/2009
Customer Dispute
Denied
State Registrations
B
Arizona 9/12/2018
B
Nevada 1/3/2011
B
California 1/3/2011
B
New York 1/14/2023
IA
California 1/3/2011
B
North Carolina 7/3/2024
B
District of Columbia 1/3/2011
B
Oregon 10/4/2022
B
Florida 1/3/2011
B
Tennessee 6/3/2015
B
Hawaii 1/3/2011
B
Texas 2/9/2021
B
Idaho 5/11/2023
IA
Texas 2/9/2021
B
Maine 10/11/2023
B
Washington 1/2/2020
B
Michigan 8/19/2022
B
West Virginia 6/17/2013
B
Missouri 4/24/2023
B
Wyoming 11/29/2022
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/3/2011
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/30/2005 - 01/03/2011 | SAN JOSE, CA | |
B | 11/14/2005 - 01/03/2011 | SAN JOSE, CA |
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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.