Individual Firm
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Erich Brashears
ERICH BRASHEARS, Erich Stephen Brashears
CRD#: 6100548
IA
B
WELLS FARGO ADVISORSCRD#: 19616 5 PARK PLAZA 19TH & 20TH FLS
[LT/SB/SG-RBO]
IRVINE, CA 92614
[LT/SB/SG-RBO]
IRVINE, CA 92614
0
Disclosures
12
Years of Experience
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State Registrations
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California 4/16/2024
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Puerto Rico 10/7/2024
IA
California 4/17/2024
SRO Registrations
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IA
Registered with this firm since 4/17/2024
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Registered with this firm since 4/16/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/19/2023 - 04/29/2024 | ROSEVILLE, CA | |
B | 07/19/2023 - 04/29/2024 | ROSEVILLE, CA | |
IA | 12/26/2017 - 07/19/2023 | CITRUS HEIGHTS, CA | |
B | 12/26/2017 - 07/19/2023 | CITRUS HEIGHTS, CA | |
IA | 09/04/2014 - 11/10/2017 | ROSEVILLE, CA | |
B | 08/29/2014 - 11/10/2017 | ROSEVILLE, CA | |
IA | 12/11/2012 - 09/02/2014 | ROSEVILLE, CA | |
B | 09/14/2012 - 09/02/2014 | ROSEVILLE, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.