Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
JOHN JOSEPH D'ANNUNZIO
JOHN JOSEPH D'ANNINZIO, JOHN JOSEPH DANNUNZIO
CRD#: 5610793
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 100 CRESCENT CT
STE 1400
DALLAS, TX 75201
Registration History
20082010201220142016201820202022202420262 FIRMS2010 - 2018 (8 years)2 FIRMS2018 - Present (6 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2008 - 2010 (1 year)IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2010 - 2010 (<1 year)
License(s)

State Registrations

B
Arizona 1/14/2023
B
New Hampshire 6/29/2020
B
Arkansas 10/12/2018
B
New Jersey 10/12/2018
B
California 10/12/2018
B
New Mexico 12/3/2018
B
Colorado 2/16/2021
B
Ohio 6/3/2021
B
Florida 10/12/2018
B
Oklahoma 10/12/2018
B
Georgia 10/12/2018
B
Oregon 10/12/2018
B
Idaho 9/16/2024
B
Pennsylvania 7/26/2023
B
Illinois 10/12/2018
B
Tennessee 8/23/2019
B
Indiana 8/23/2019
B
Texas 10/12/2018
B
Kansas 2/26/2025
IA
Texas 10/12/2018
B
Massachusetts 10/12/2018
B
Utah 3/17/2022
B
Michigan 10/12/2018
B
Virginia 3/17/2022
B
Mississippi 7/26/2023
B
Washington 10/12/2018
B
Missouri 10/12/2018
B
West Virginia 10/12/2018
B
Nevada 2/26/2025
B
Wisconsin 8/23/2019

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)
100 CRESCENT CT STE 1400, DALLAS, TX 75201
Registered with this firm since 10/12/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
100 CRESCENT CT STE 1400, DALLAS, TX 75201
Registered with this firm since 10/12/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/01/2010 - 10/15/2018 MORGAN STANLEY (CRD#:149777) DALLAS, TX
B
 04/01/2010 - 10/15/2018 MORGAN STANLEY (CRD#:149777) DALLAS, TX
IA
 03/03/2010 - 03/10/2010 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) AUBURN HILLS, MI
B
 12/05/2008 - 03/10/2010 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) AUBURN HILLS, MI
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.