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Detailed Report
FRANK SORIA
FRANK SORIA JR, JOSE FRANCISCO SORIA JR, PONCH SORIA
CRD#: 6116159
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3407 S 31ST ST
TEMPLE, TX 76502
Registration History
20122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2020 - Present (5 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2012 - Present (12 years)
License(s)

State Registrations

B
California 10/31/2012
B
Oklahoma 11/8/2022
B
Louisiana 5/16/2024
B
Tennessee 11/9/2022
B
Minnesota 1/9/2024
B
Texas 3/25/2020
B
Nevada 10/8/2024
IA
Texas 3/25/2020

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)
3407 S 31ST ST, TEMPLE, TX 76502
13000 NORTH I H 35 BLDG 3, AUSTIN, TX 78753
Registered with this firm since 3/25/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3407 S 31ST ST, TEMPLE, TX 76502
13000 NORTH I H 35 BLDG 3, AUSTIN, TX 78753
Registered with this firm since 10/22/2012
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.