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Detailed Report
SEAN SAR MUTH
SARA MUTH, SEAN MUTH
CRD#: 5669259
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 14815 POMERADO RD
POWAY, CA 92064
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2013 (2 years)2 FIRMS2013 - 2016 (3 years)2 FIRMS2016 - Present (8 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2010 (<1 year)
License(s)

State Registrations

B
Alabama 1/9/2020
B
Missouri 1/9/2020
B
Arizona 7/11/2019
B
Nevada 1/9/2020
B
Arkansas 3/23/2021
B
New York 1/9/2020
B
California 10/28/2016
B
Ohio 1/10/2020
IA
California 10/28/2016
B
Oregon 1/7/2020
B
Colorado 8/5/2021
B
Pennsylvania 1/9/2020
B
Connecticut 1/5/2023
B
Tennessee 3/17/2023
B
Florida 1/9/2020
B
Texas 1/9/2019
B
Illinois 1/9/2020
IA
Texas 1/9/2019
B
Iowa 1/9/2020
B
Virginia 1/7/2020
B
Michigan 7/14/2020
B
Washington 12/20/2021

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
14815 POMERADO RD, POWAY, CA 92064
1000 SAN W MARCOS BLVD, SAN MARCOS, CA 92078
Registered with this firm since 10/28/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
14815 POMERADO RD, POWAY, CA 92064
1000 SAN W MARCOS BLVD, SAN MARCOS, CA 92078
Registered with this firm since 10/28/2016
Previous Registration(s)
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IA
 03/15/2013 - 11/08/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN DIEGO, CA
B
 03/15/2013 - 11/08/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN DIEGO, CA
IA
 12/08/2010 - 03/12/2013 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAN DIEGO, CA
B
 04/20/2010 - 03/12/2013 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAN DIEGO, CA
B
 06/15/2009 - 03/31/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN DIEGO, CA
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.