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Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2014 (4 years)2 FIRMS2014 - 2019 (4 years)2 FIRMS2019 - 2022 (3 years)IAPINE VALLEY INVESTMENTS (CRD# 173995)2023 - Present (1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2019 - 2019 (<1 year)
Disclosure(s)
View By:
4/23/2019
Customer Dispute
Denied
10/17/2013
Customer Dispute
Settled
License(s)

State Registrations

IA
Texas 4/26/2023

Current Registration(s)
IA
PINE VALLEY INVESTMENTS (CRD#:173995)
San Antonio, TX
Registered with this firm since 4/26/2023

Previous Registration(s)
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IA
03/13/2019 - 09/14/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN ANTONIO, TX
B
03/11/2019 - 09/14/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN ANTONIO, TX
IA
07/11/2014 - 03/20/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN ANTONIO, TX
B
07/11/2014 - 03/20/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN ANTONIO, TX
IA
03/11/2019 - 03/11/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN ANTONIO, TX
IA
07/15/2010 - 07/15/2014 MORGAN STANLEY (CRD#:149777) SAN ANTONIO, TX
B
06/23/2010 - 07/15/2014 MORGAN STANLEY (CRD#:149777) SAN ANTONIO, TX
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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.