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Detailed Report
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2014 (<1 year)2 FIRMS2018 - Present (6 years)BSUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2014 - 2018 (4 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2014 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)BPFS INVESTMENTS INC. (CRD# 10111)2008 - 2011 (3 years)IASUNTRUST ADVISORY SERVICES, INC. (CRD# 283390)2016 - 2018 (2 years)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2014 - 2016 (2 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - 2014 (<1 year)
Disclosure(s)
View By:
2/13/2025
Customer Dispute
Pending
10/18/1999
Criminal
Final Disposition
License(s)

State Registrations

B
California 3/28/2024
B
New Mexico 5/9/2023
B
Florida 9/27/2018
B
New York 12/17/2022
IA
Florida 9/28/2018
B
South Carolina 1/28/2019
B
Georgia 12/2/2022
B
Utah 5/3/2022
B
New Jersey 1/28/2019
B
Virginia 1/29/2019

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)
2603 N HIATUS RD, HOLLYWOOD, FL 33026
5830 S UNIVERSITY DR, DAVIE, FL 33328
Registered with this firm since 9/27/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2603 N HIATUS RD, HOLLYWOOD, FL 33026
5830 S UNIVERSITY DR, DAVIE, FL 33328
Registered with this firm since 9/27/2018
Previous Registration(s)
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IA
 08/19/2016 - 10/02/2018 SUNTRUST ADVISORY SERVICES, INC. (CRD#:283390) HIALEAH, FL
B
 09/22/2014 - 10/02/2018 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) CORAL GABLES, FL
IA
 09/29/2014 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) CORAL GABLES, FL
IA
 04/04/2014 - 10/01/2014 LPL FINANCIAL LLC (CRD#:6413) FT LAUDERDALE, FL
B
 04/03/2014 - 10/01/2014 LPL FINANCIAL LLC (CRD#:6413) FT LAUDERDALE, FL
IA
 05/06/2013 - 04/10/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) CUTLER BAY, FL
B
 10/01/2012 - 04/10/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) CUTLER BAY, FL
B
 05/03/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CORAL GABLES, FL
B
 02/20/2008 - 05/05/2011 PFS INVESTMENTS INC. (CRD#:10111) MIAMI LAKES, 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.