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SHAUN D SMALL
SHAUN SMALL
CRD#: 5397023
IA
B
WELLS FARGO ADVISORSCRD#: 11025 555 SECOND AVENUE
SUITE D-300
COLLEGEVILLE, PA 19426
SUITE D-300
COLLEGEVILLE, PA 19426
0
Disclosures
17
Years of Experience
View By:
State Registrations
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Alabama 9/19/2019
B
Missouri 1/25/2024
B
Arizona 9/13/2019
B
Nevada 9/13/2019
B
California 9/13/2019
B
New Jersey 9/13/2019
B
Colorado 9/13/2019
B
New York 9/13/2019
B
Connecticut 9/13/2019
B
North Carolina 9/13/2019
B
Delaware 9/13/2019
B
Ohio 9/13/2019
B
District of Columbia 9/13/2019
B
Oklahoma 9/13/2019
B
Florida 9/13/2019
B
Oregon 9/13/2019
B
Georgia 9/13/2019
B
Pennsylvania 9/13/2019
B
Illinois 9/13/2019
IA
Pennsylvania 9/13/2019
B
Kansas 1/30/2024
B
South Carolina 9/13/2019
B
Kentucky 9/13/2019
B
Texas 9/13/2019
B
Louisiana 9/13/2019
IA
Texas 9/13/2019
B
Maine 9/13/2019
B
Utah 9/13/2019
B
Maryland 9/13/2019
B
Virginia 9/13/2019
B
Massachusetts 9/13/2019
B
Washington 9/16/2021
B
Michigan 9/13/2019
B
Wisconsin 9/13/2019
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/13/2019
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Registered with this firm since 9/13/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 09/17/2019 | Yardley, PA | |
B | 06/01/2009 - 09/17/2019 | Yardley, PA | |
IA | 04/18/2008 - 06/01/2009 | PHILADELPHIA, PA | |
B | 10/04/2007 - 06/01/2009 | PHILADELPHIA, PA |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.