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Registration History
2010201220142016201820202022202420262 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - Present (7 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
Disclosure(s)
View By:
12/20/2022
Customer Dispute
Denied
1/4/2016
Customer Dispute
Denied
10/6/2015
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 3/8/2024

B
Minnesota 10/15/2024

B
California 6/16/2017

B
Missouri 10/15/2024

IA
California 6/16/2017

B
Nevada 3/19/2018

B
Florida 7/16/2019

B
Oregon 6/16/2017

B
Idaho 3/19/2021

B
Texas 8/13/2024

B
Maryland 3/28/2023

IA
Texas 8/13/2024

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)
900 COLUSA AVE, YUBA CITY, CA 95991
501 MARKET ST, COLUSA, CA 95932
Registered with this firm since 6/16/2017

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
900 COLUSA AVE, YUBA CITY, CA 95991
501 MARKET ST, COLUSA, CA 95932
Registered with this firm since 6/16/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2015 - 07/14/2017 MORGAN STANLEY (CRD#:149777) CHICO, CA
B
05/29/2015 - 07/14/2017 MORGAN STANLEY (CRD#:149777) CHICO, CA
IA
10/01/2012 - 06/12/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) YUBA CITY, CA
B
10/01/2012 - 06/12/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) YUBA CITY, CA
IA
08/30/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) YUBA CITY, CA
B
04/21/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) YUBA CITY, CA
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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.