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Detailed Report
Frances Hara
FRANCES CASTRO, FRANCES FELIX, Frances Letisha Hara
CRD#: 5102631
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2265 OTAY LAKES RD STE B
CHULA VISTA, CA 91915
Registration History
201620172018201920202021202220232024202520264 FIRMS2019 - 2021 (2 years)2 FIRMS2022 - 2025 (3 years)2 FIRMS2025 - Present (<1 year)BCOMMONWEALTH FINANCIAL NETWORK (CRD# 8032)2021 - 2022 (<1 year)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2016 - 2021 (4 years)BSUMMIT BROKERAGE SERVICES, INC. (CRD# 34643)2019 - 2019 (<1 year)
License(s)

State Registrations

B
Alabama 1/16/2025
B
Nevada 1/16/2025
B
Arizona 1/16/2025
B
New Jersey 1/16/2025
B
California 1/16/2025
B
New Mexico 1/16/2025
IA
California 1/16/2025
B
New York 1/16/2025
B
Colorado 1/16/2025
B
North Carolina 1/16/2025
B
Connecticut 1/16/2025
B
Oregon 1/16/2025
B
District of Columbia 1/16/2025
B
Pennsylvania 1/16/2025
B
Florida 1/16/2025
B
Tennessee 1/16/2025
B
Idaho 1/16/2025
B
Texas 1/16/2025
B
Illinois 1/16/2025
IA
Texas 1/16/2025
B
Michigan 1/16/2025
B
Utah 1/16/2025
B
Minnesota 1/16/2025
B
Washington 1/16/2025

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
2265 OTAY LAKES RD STE B, CHULA VISTA, CA 91915
Registered with this firm since 1/16/2025
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2265 OTAY LAKES RD STE B, CHULA VISTA, CA 91915
Registered with this firm since 1/16/2025
Previous Registration(s)
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IA
 02/25/2022 - 01/17/2025 J.P. MORGAN SECURITIES LLC (CRD#:79) BONITA, CA
B
 01/20/2022 - 01/17/2025 J.P. MORGAN SECURITIES LLC (CRD#:79) BONITA, CA
B
 05/18/2021 - 01/03/2022 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) SAN DIEGO, CA
B
 02/01/2019 - 05/13/2021 CETERA ADVISOR NETWORKS LLC (CRD#:13572) SAN DIEGO, CA
B
 02/01/2019 - 05/13/2021 CETERA ADVISORS LLC (CRD#:10299) SAN DIEGO, CA
B
 02/01/2019 - 05/13/2021 CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358) SAN DIEGO, CA
B
 02/01/2019 - 05/13/2021 CETERA INVESTMENT SERVICES LLC (CRD#:15340) SAN DIEGO, CA
B
 09/09/2016 - 05/13/2021 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
 02/01/2019 - 12/03/2019 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) San Diego, CA
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.