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Detailed Report
WILLIAM SA
CRD#: 6088544
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 100 BON AIR SHOPPING CTR
GREENBRAE, CA 94904
Registration History
201220142016201820202022202420263 FIRMS2020 - 2023 (3 years)2 FIRMS2023 - Present (1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2012 - 2019 (6 years)
License(s)

State Registrations

B
Alabama 6/15/2023
B
New Mexico 6/15/2023
B
Arizona 6/15/2023
B
New York 6/2/2023
B
California 6/2/2023
B
North Carolina 6/15/2023
IA
California 6/2/2023
B
Ohio 6/16/2023
B
Colorado 6/2/2023
B
Oklahoma 6/15/2023
B
Florida 6/15/2023
B
Oregon 6/2/2023
B
Hawaii 6/2/2023
B
Rhode Island 6/15/2023
B
Illinois 6/2/2023
B
South Carolina 6/15/2023
B
Kansas 6/15/2023
B
Tennessee 6/15/2023
B
Massachusetts 6/2/2023
B
Texas 6/15/2023
B
Michigan 6/15/2023
IA
Texas 6/16/2023
B
Nevada 6/2/2023
B
Utah 6/15/2023
B
New Jersey 6/15/2023
B
Washington 6/2/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, 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)
100 BON AIR SHOPPING CTR, GREENBRAE, CA 94904
Registered with this firm since 6/2/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
100 BON AIR SHOPPING CTR, GREENBRAE, CA 94904
Registered with this firm since 6/2/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/16/2020 - 04/12/2023 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 01/22/2020 - 04/12/2023 CITI PRIVATE ADVISORY, LLC (CRD#:153777) San Francisco, CA
B
 01/22/2020 - 04/12/2023 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 08/06/2012 - 04/18/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN ANSELMO, 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.