• 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.
Registration History
201220142016201820202022202420262 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2016 (5 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2017 - 2017 (<1 year)IABMO HARRIS FINANCIAL ADVISORS, INC (CRD# 137115)2016 - 2016 (<1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2014 - 2016 (2 years)
Disclosure(s)
View By:
3/1/2024
Judgment / Lien
License(s)

State Registrations

B
Arizona 10/16/2019

B
Missouri 10/16/2019

B
California 10/16/2019

B
New York 2/17/2025

B
Colorado 12/5/2022

B
Pennsylvania 6/27/2023

B
Connecticut 2/13/2025

B
Texas 10/16/2019

B
Florida 10/16/2019

IA
Texas 10/16/2019

B
Kansas 4/30/2020

B
Wisconsin 10/16/2019

B
Minnesota 11/1/2017

B
Wyoming 7/25/2024

IA
Minnesota 11/19/2017

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)
930 WAYZATA BLVD E, WAYZATA, MN 55391
Registered with this firm since 11/19/2017

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
930 WAYZATA BLVD E, WAYZATA, MN 55391
Registered with this firm since 11/1/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/01/2017 - 11/03/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PLYMOUTH, MN
IA
11/04/2016 - 10/13/2017 BMO HARRIS FINANCIAL ADVISORS, INC (CRD#:137115) BURNSVILLE, MN
B
11/01/2016 - 10/13/2017 BMO HARRIS FINANCIAL ADVISORS, INC. (CRD#:137115) BURNSVILLE, MN
IA
11/01/2016 - 11/02/2016 BMO HARRIS FINANCIAL ADVISORS, INC (CRD#:137115) BURNSVILLE, MN
IA
01/22/2014 - 10/03/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) EDEN PRAIRIE, MN
B
05/09/2011 - 10/03/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) EDEN PRAIRIE, MN
For additional information about investment advisers or broker-dealers, please visit
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.