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
Erik Liodice
ERIK KENNETH LIODICE
CRD#: 5196316
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4655 EXECUTIVE DR STE 1000
[SC/SJ-RBO]
SAN DIEGO, CA 92121
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2007 (<1 year)3 FIRMS2007 - 2013 (5 years)2 FIRMS2013 - 2024 (11 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Arizona 10/2/2024
B
New Jersey 10/2/2024
B
California 10/2/2024
B
New York 10/2/2024
IA
California 10/2/2024
B
North Carolina 10/2/2024
B
Florida 10/2/2024
B
Ohio 10/2/2024
B
Hawaii 10/2/2024
B
Oregon 10/2/2024
B
Illinois 10/2/2024
B
Pennsylvania 10/2/2024
B
Indiana 10/2/2024
B
Tennessee 10/2/2024
B
Kentucky 10/2/2024
B
Texas 10/2/2024
B
Maryland 10/2/2024
IA
Texas 10/2/2024
B
Michigan 10/2/2024
B
Utah 10/2/2024
B
Missouri 10/2/2024
B
Virginia 10/2/2024
B
Nevada 10/2/2024
B
Washington 10/2/2024

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)
4655 EXECUTIVE DR STE 1000 [SC/SJ-RBO], SAN DIEGO, CA 92121
Registered with this firm since 10/2/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4655 EXECUTIVE DR STE 1000 [SC/SJ-RBO], SAN DIEGO, CA 92121
Registered with this firm since 10/2/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/18/2013 - 10/03/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) San Diego, CA
B
 04/18/2013 - 10/03/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) San Diego, CA
IA
 07/10/2007 - 04/19/2013 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) SAN DIEGO, CA
IA
 07/10/2007 - 04/19/2013 TD AMERITRADE, INC. (CRD#:7870) SAN DIEGO, CA
B
 07/11/2007 - 04/19/2013 TD AMERITRADE, INC. (CRD#:7870) SAN DIEGO, CA
IA
 04/02/2007 - 06/22/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) LAJOLLA, CA
B
 04/02/2007 - 06/22/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) LAJOLLA, CA
IA
 11/20/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) LAJOLLA, CA
B
 10/05/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LAJOLLA, 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.