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Registration History
2010201220142016201820202022202420262 FIRMS2012 - 2019 (7 years)2 FIRMS2019 - Present (5 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (2 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)
Disclosure(s)
View By:
10/12/2022
Customer Dispute
Withdrawn
License(s)

State Registrations

B
California 9/30/2019

B
Texas 12/9/2021

IA
California 9/30/2019

IA
Texas 12/12/2021

B
Oklahoma 8/19/2024

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)
3456 MCHENRY AVE, MODESTO, CA 95350
Registered with this firm since 9/30/2019

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3456 MCHENRY AVE, MODESTO, CA 95350
Registered with this firm since 9/30/2019

Previous Registration(s)
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IA
10/01/2012 - 10/08/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) TURLOCK, CA
B
10/01/2012 - 10/08/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) TURLOCK, CA
IA
06/26/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TURLOCK, CA
B
12/24/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TURLOCK, CA
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B
Broker
IA
Investment Adviser
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.