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Detailed Report
BRIAN JOSEPH CASEY
BRAIN JOSEPH CASEY
CRD#: 5510744
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4780 CAUGHLIN PKWY
RENO, NV 89519
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2010 (2 years)2 FIRMS2010 - 2020 (9 years)2 FIRMS2020 - Present (5 years)
Disclosure(s)
View By:
6/20/2024
Judgment / Lien
License(s)

State Registrations

B
Arizona 2/14/2020
B
Nevada 2/14/2020
B
California 2/14/2020
IA
Nevada 3/5/2020
IA
California 2/18/2020
B
Oregon 5/16/2023
B
Colorado 8/7/2023
B
Texas 7/2/2021
B
Florida 8/7/2023
IA
Texas 7/6/2021
B
Montana 11/2/2022
B
Utah 8/7/2023

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)
4780 CAUGHLIN PKWY, RENO, NV 89519
Registered with this firm since 2/18/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4780 CAUGHLIN PKWY, RENO, NV 89519
Registered with this firm since 2/14/2020
Previous Registration(s)
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IA
 05/28/2010 - 02/18/2020 MORGAN STANLEY (CRD#:149777) RENO, NV
B
 05/28/2010 - 02/18/2020 MORGAN STANLEY (CRD#:149777) RENO, NV
IA
 04/28/2008 - 06/01/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) RENO, NV
B
 04/04/2008 - 06/01/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) RENO, NV
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.