• 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.
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - Present (14 years)
Disclosure(s)
View By:
7/1/2014
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 2/11/2020

B
New Mexico 7/8/2022

B
California 1/3/2011

B
Oregon 12/7/2022

IA
California 1/3/2011

B
Puerto Rico 9/23/2020

B
Colorado 2/23/2023

B
Tennessee 4/29/2022

B
Idaho 2/11/2020

B
Texas 6/7/2018

B
Illinois 7/26/2024

IA
Texas 6/10/2018

B
Nevada 3/17/2021

B
Washington 2/2/2011

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)
781 W HAMILTON AVE, CAMPBELL, CA 95008
Registered with this firm since 1/3/2011

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
781 W HAMILTON AVE, CAMPBELL, CA 95008
Registered with this firm since 1/3/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/29/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SANTA CLARA, CA
B
03/16/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SANTA CLARA, CA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.