Individual Firm
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NATHAN COLE WELLS
CRD#: 5553359
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 301 E MAIN ST
MORRISON, IL 61270
MORRISON, IL 61270
CETERA ADVISOR NETWORKS LLCCRD#: 13572 301 E MAIN ST
MORRISON, IL 61270
MORRISON, IL 61270
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7/13/2023
Customer Dispute
Settled
5/26/2023
Customer Dispute
Settled
State Registrations
B
Alabama 6/9/2021
B
Missouri 6/9/2021
B
Arizona 6/9/2021
B
Montana 6/9/2021
B
California 6/9/2021
B
Nevada 6/9/2021
B
Colorado 6/9/2021
B
New York 6/9/2021
B
Florida 6/10/2021
B
North Carolina 2/27/2024
B
Georgia 6/9/2021
B
Ohio 6/9/2021
B
Hawaii 6/9/2021
B
Oklahoma 6/9/2021
B
Idaho 6/9/2021
B
South Carolina 6/9/2021
B
Illinois 6/9/2021
B
Tennessee 2/9/2023
IA
Illinois 6/29/2023
B
Texas 6/9/2021
B
Indiana 6/9/2021
IA
Texas 6/29/2023
B
Iowa 6/9/2021
B
Virginia 6/9/2021
B
Kansas 6/9/2021
B
Washington 6/9/2021
B
Michigan 6/9/2021
B
Wisconsin 6/9/2021
B
Minnesota 7/14/2023
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 6/9/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2021 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 04/04/2012 - 06/09/2021 | MORRISON, IL | |
B | 02/02/2012 - 06/09/2021 | MORRISON, IL | |
IA | 09/01/2009 - 12/31/2011 | WEST DES MOINES, IA | |
B | 07/14/2009 - 12/31/2011 | WEST DES MOINES, IA | |
B | 08/25/2008 - 06/15/2009 | MORRISON, IL |
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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.