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
TEODORO UYTINGBAN
TJ Uytingban, Tee Jay Uytingban, Teodoro De La Rosa Uytingban, Teodoro R Uytingban, Teodoro Uytingban Jr.
CRD#: 6016670
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 400 CAPITOL MALL STE 1700
[NM-RBO]
SACRAMENTO, CA 95814
Registration History
201220142016201820202022202420262 FIRMS2019 - 2024 (4 years)2 FIRMS2024 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2019 (7 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2017 - 2019 (2 years)
License(s)

State Registrations

B
California 4/4/2024
B
North Carolina 4/8/2024
IA
California 4/4/2024
B
Texas 4/4/2024
B
Maryland 4/4/2024
B
Wisconsin 4/4/2024
B
Nevada 4/4/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
400 CAPITOL MALL STE 1700 [NM-RBO], SACRAMENTO, CA 95814
Registered with this firm since 4/4/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
400 CAPITOL MALL STE 1700 [NM-RBO], SACRAMENTO, CA 95814
Registered with this firm since 4/4/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/16/2019 - 04/05/2024 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SACRAMENTO, CA
B
 10/15/2019 - 04/05/2024 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SACRAMENTO, CA
IA
 01/03/2017 - 10/23/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) SACRAMENTO, CA
B
 10/01/2012 - 10/23/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) SACRAMENTO, CA
B
 02/13/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NORTHRIDGE, CA
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.