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
SIMON BENJAMIN TARVIN
SIMON TARVIN
CRD#: 5085387
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 44 OLD RIDGEFIELD RD
WILTON, CT 06897
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)
License(s)

State Registrations

B
California 11/19/2024
B
New Jersey 11/17/2017
B
Colorado 9/9/2024
B
New York 7/28/2008
B
Connecticut 3/14/2006
B
North Carolina 3/31/2023
IA
Connecticut 12/20/2006
B
Pennsylvania 9/9/2024
B
District of Columbia 1/6/2022
B
South Carolina 9/9/2024
B
Florida 7/22/2008
B
Texas 10/18/2016
B
Massachusetts 5/31/2018
IA
Texas 10/19/2016
B
New Hampshire 8/4/2022
B
Wyoming 10/11/2021

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)
44 OLD RIDGEFIELD RD, WILTON, CT 06897
Registered with this firm since 12/20/2006
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
44 OLD RIDGEFIELD RD, WILTON, CT 06897
Registered with this firm since 3/7/2006
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.