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CALE ALLEN BROWN
CALE A BROWN
CRD#: 5652982
IA
B
WELLS FARGO ADVISORSCRD#: 19616 300 S MAIN
WICHITA, KS 67202
WICHITA, KS 67202
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12/18/2019
Judgment / Lien
State Registrations
B
Arizona 1/4/2017
B
Nevada 2/18/2025
B
Arkansas 1/4/2017
B
New Jersey 8/24/2017
B
California 1/4/2017
B
New Mexico 2/18/2025
B
Colorado 1/4/2017
B
New York 8/24/2017
B
District of Columbia 2/14/2025
B
North Carolina 1/5/2017
B
Florida 1/4/2017
B
Ohio 1/4/2017
B
Georgia 1/4/2017
B
Oklahoma 1/4/2017
B
Iowa 1/4/2017
B
Oregon 1/4/2017
B
Kansas 3/14/2012
B
Pennsylvania 12/2/2020
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Kansas 5/18/2012
B
South Carolina 5/28/2020
B
Louisiana 1/19/2017
B
Tennessee 1/4/2017
B
Maryland 1/28/2020
B
Texas 1/4/2017
B
Massachusetts 8/24/2017
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Texas 1/5/2017
B
Minnesota 5/28/2020
B
Utah 4/21/2020
B
Mississippi 2/13/2025
B
Virginia 1/4/2017
B
Missouri 1/4/2017
B
Washington 1/4/2017
B
Montana 1/4/2017
B
West Virginia 12/9/2021
B
Nebraska 1/4/2017
B
Wisconsin 2/13/2025
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 5/18/2012
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Registered with this firm since 3/14/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/05/2010 - 03/12/2012 | WICHITA, KS | |
B | 04/30/2009 - 07/19/2010 | WICHITA, KS |
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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.
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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.