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
ALICE MARQUARDT
ALICE L MARQUARDT, ALICE LYNN MARQUARDT
CRD#: 5737797
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 970 WYOMING ST STE 301
MISSOULA, MT 59801
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2013 (2 years)2 FIRMS2013 - 2022 (9 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alaska 6/3/2022
IA
Montana 6/3/2022
B
Arizona 6/3/2022
B
Nebraska 6/3/2022
B
California 6/3/2022
B
Nevada 6/3/2022
B
Colorado 6/3/2022
B
New Mexico 6/3/2022
B
Delaware 6/3/2022
B
New York 6/3/2022
B
Florida 6/3/2022
B
North Carolina 6/3/2022
B
Georgia 6/3/2022
B
Ohio 6/3/2022
B
Hawaii 6/3/2022
B
Oregon 6/3/2022
B
Idaho 6/3/2022
B
Pennsylvania 6/3/2022
B
Illinois 6/3/2022
B
Tennessee 6/3/2022
B
Kansas 6/3/2022
B
Texas 6/3/2022
B
Louisiana 6/3/2022
IA
Texas 6/3/2022
B
Maine 6/3/2022
B
Utah 6/3/2022
B
Massachusetts 6/3/2022
B
Virginia 6/3/2022
B
Michigan 6/3/2022
B
Washington 6/3/2022
B
Missouri 6/3/2022
B
Wisconsin 6/3/2022
B
Montana 6/3/2022
B
Wyoming 6/3/2022

SRO Registrations

B
 FINRA

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#:11025)
970 WYOMING ST STE 301, MISSOULA, MT 59801
331 N HIGGINS AVENUE [OFFICE OF CONVENIENCE], MISSOULA, MT 59802
Registered with this firm since 6/3/2022
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
970 WYOMING ST STE 301, MISSOULA, MT 59801
331 N HIGGINS AVENUE [OFFICE OF CONVENIENCE], MISSOULA, MT 59802
Registered with this firm since 6/3/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2013 - 06/06/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MISSOULA, MT
B
 01/03/2013 - 06/03/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MISSOULA, MT
IA
 12/02/2010 - 01/07/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MISSOULA, MT
B
 10/13/2010 - 01/07/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MISSOULA, MT
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.