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
BRIAN ALAN NUSSBAUM
BRIAN NUSSBAUM
CRD#: 5775137
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6702 POINTE INVERNESS WAY
STE 100
FORT WAYNE, IN 46804
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2013 (3 years)2 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
Arizona 1/24/2018
B
New Hampshire 5/3/2023
B
Arkansas 8/16/2021
B
New York 6/1/2017
B
California 7/6/2017
B
North Carolina 2/23/2021
B
Colorado 10/5/2018
B
Ohio 10/8/2018
B
Florida 12/8/2015
B
Oregon 2/2/2022
B
Illinois 1/22/2019
B
Pennsylvania 2/2/2024
B
Indiana 12/8/2015
B
Tennessee 10/22/2018
IA
Indiana 12/8/2015
B
Texas 9/30/2016
B
Kansas 5/19/2022
IA
Texas 10/6/2016
B
Maryland 10/5/2021
B
Utah 1/12/2024
B
Michigan 12/10/2015
B
Virginia 8/16/2022
B
Minnesota 8/17/2021
B
Washington 8/17/2021
B
Missouri 9/22/2020
B
Wisconsin 11/14/2018

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)
6702 POINTE INVERNESS WAY STE 100, FORT WAYNE, IN 46804
Registered with this firm since 12/8/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6702 POINTE INVERNESS WAY STE 100, FORT WAYNE, IN 46804
Registered with this firm since 12/8/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/05/2013 - 12/14/2015 FIFTH THIRD SECURITIES, INC. (CRD#:628) PLAINFIELD, IN
B
 12/05/2013 - 12/14/2015 FIFTH THIRD SECURITIES, INC. (CRD#:628) PLAINFIELD, IN
IA
 05/24/2010 - 12/02/2013 EDWARD JONES (CRD#:250) INDIANAPOLIS, IN
B
 05/10/2010 - 12/02/2013 EDWARD JONES (CRD#:250) INDIANAPOLIS, IN
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.