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Detailed Report
VAISHALI KETAN TRIVEDI
CRD#: 5209977
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2890 HIGHWAY 160 W
FORT MILL, SC 29708
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2013 (6 years)2 FIRMS2013 - 2016 (2 years)2 FIRMS2016 - Present (9 years)
License(s)

State Registrations

B
North Carolina 12/12/2016
IA
South Carolina 3/2/2016
B
South Carolina 3/1/2016

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)
2890 HIGHWAY 160 W, FORT MILL, SC 29708
Registered with this firm since 3/2/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2890 HIGHWAY 160 W, FORT MILL, SC 29708
Registered with this firm since 3/1/2016
Previous Registration(s)
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IA
 11/14/2013 - 02/16/2016 FIFTH THIRD SECURITIES, INC. (CRD#:628) CHARLOTTE, NC
B
 11/13/2013 - 02/16/2016 FIFTH THIRD SECURITIES, INC. (CRD#:628) CHARLOTTE, NC
IA
 12/11/2007 - 10/07/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROCK HILL, SC
B
 06/25/2007 - 10/07/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROCK HILL, SC
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.