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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2012 - 2022 (9 years)2 FIRMS2022 - Present (3 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (2 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2007 - 2009 (1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (<1 year)
Disclosure(s)
View By:
6/24/2024
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/12/2022
B
Nevada 1/12/2022
B
California 1/12/2022
B
New Mexico 1/12/2022
IA
California 1/13/2022
B
North Carolina 1/12/2022
B
Florida 1/12/2022
B
Oregon 1/12/2022
B
Georgia 1/12/2022
B
Texas 1/12/2022
B
Hawaii 1/12/2022
B
Utah 1/12/2022
B
Idaho 1/12/2022
B
Washington 8/17/2023
B
Massachusetts 8/29/2024

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)
5 CORPORATE PLZ, NEWPORT BEACH, CA 92660
Registered with this firm since 1/13/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5 CORPORATE PLZ, NEWPORT BEACH, CA 92660
Registered with this firm since 1/12/2022
Previous Registration(s)
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IA
 04/19/2012 - 01/13/2022 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) NEWPORT BEACH, CA
B
 04/19/2012 - 01/13/2022 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) NEWPORT BEACH, CA
IA
 07/04/2011 - 04/03/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TUSTIN, CA
B
 11/10/2009 - 04/03/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TUSTIN, CA
B
 09/21/2007 - 07/02/2009 PRUCO SECURITIES, LLC. (CRD#:5685) NEWARK, NJ
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.