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Detailed Report
BRIAN M BEATTIE
CRD#: 5170762
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3399 PGA BLVD STE 400
PALM BEACH GARDENS, FL 33410
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - Present (14 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2009 (1 year)
Disclosure(s)
View By:
10/30/2015
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 7/28/2010
B
Missouri 1/3/2011
B
Arizona 3/7/2012
B
Montana 1/8/2025
B
Arkansas 12/7/2017
B
Nevada 4/22/2024
B
California 7/28/2010
B
New Jersey 7/28/2010
IA
California 5/3/2021
B
New York 7/28/2010
B
Colorado 10/24/2012
B
North Carolina 7/28/2010
B
Connecticut 7/28/2010
B
Ohio 9/15/2021
B
Florida 7/28/2010
B
Oregon 9/25/2018
IA
Florida 8/4/2010
B
Pennsylvania 7/28/2010
B
Georgia 7/28/2010
B
South Carolina 4/4/2019
B
Illinois 7/28/2010
B
Tennessee 6/1/2020
B
Indiana 5/20/2024
IA
Texas 8/2/2010
B
Kentucky 3/14/2012
B
Texas 6/24/2011
B
Louisiana 6/28/2021
B
Utah 1/17/2023
B
Maine 7/28/2010
B
Vermont 5/12/2021
B
Maryland 7/28/2010
B
Virginia 1/10/2014
B
Massachusetts 7/28/2010
B
Wisconsin 7/31/2019
B
Michigan 7/28/2010

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)
3399 PGA BLVD STE 400, PALM BEACH GARDENS, FL 33410
Napa, CA
Registered with this firm since 8/2/2010
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3399 PGA BLVD STE 400, PALM BEACH GARDENS, FL 33410
Napa, CA
Registered with this firm since 7/28/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 08/16/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) NORTH PALM BEACH, FL
B
 06/01/2009 - 08/16/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) NORTH PALM BEACH, FL
IA
 03/25/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NORTH PALM BEACH, FL
B
 08/07/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NORTH PALM BEACH, FL
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.