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DANIEL ANDREW ROSENGARTEN
DANIEL ROSENGARETN
CRD#: 6484210
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WELLS FARGO ADVISORSCRD#: 19616 900 N GREEN VALLEY PKWY
HENDERSON, NV 89074
HENDERSON, NV 89074
View By:
11/11/2018
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 4/25/2023
B
New York 3/13/2025
B
California 9/28/2022
B
North Carolina 3/13/2025
B
Colorado 9/29/2022
B
Ohio 3/14/2025
B
Connecticut 3/12/2025
B
Oklahoma 3/12/2025
B
Florida 3/12/2025
B
Oregon 4/23/2023
B
Georgia 3/12/2025
B
Pennsylvania 3/12/2025
B
Idaho 3/12/2025
B
Tennessee 3/12/2025
B
Kentucky 3/13/2025
B
Texas 3/12/2025
B
Minnesota 3/13/2025
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Texas 3/12/2025
B
Missouri 3/12/2025
B
Utah 3/12/2025
B
Montana 3/13/2025
B
Virginia 3/12/2025
B
Nevada 7/7/2015
B
Washington 5/1/2019
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Nevada 1/31/2022
B
Wyoming 3/13/2025
B
New Jersey 3/12/2025
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 1/31/2022
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Registered with this firm since 6/8/2015
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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.
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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.