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Detailed Report
ERIC BAKER SCHOTT
ERIC SCHOTT
CRD#: 5725975
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 400 CAPITOL MALL STE 1700
SACRAMENTO, CA 95814
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)
Disclosure(s)
View By:
8/6/1996
Criminal
Final Disposition
9/29/1995
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 6/9/2023
B
Nevada 3/6/2014
B
Arizona 1/11/2018
B
North Carolina 4/23/2022
B
Arkansas 3/2/2018
B
Oregon 7/6/2018
B
California 12/22/2009
B
Tennessee 7/11/2022
IA
California 12/22/2009
IA
Texas 8/15/2012
B
Colorado 3/9/2022
B
Texas 11/1/2012
B
Idaho 3/9/2022
B
Utah 3/26/2014
B
Indiana 7/27/2022
B
Virginia 1/11/2024
B
Massachusetts 3/27/2018
B
Washington 5/25/2021

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)
400 CAPITOL MALL STE 1700, SACRAMENTO, CA 95814
400 CAPITOL MALL STE 1700 [KD-RBO], SACRAMENTO, CA 95814
Registered with this firm since 12/22/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
400 CAPITOL MALL STE 1700, SACRAMENTO, CA 95814
400 CAPITOL MALL STE 1700 [KD-RBO], SACRAMENTO, CA 95814
Registered with this firm since 12/7/2009
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.