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Registration History
2015201620172018201920202021202220232024202520262 FIRMS2016 - 2016 (<1 year)2 FIRMS2016 - Present (8 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2016 (<1 year)
Disclosure(s)
View By:
8/25/2023
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 8/11/2016

B
Minnesota 8/11/2016

B
Alaska 11/3/2023

B
Mississippi 10/19/2017

B
Arizona 8/11/2016

B
Missouri 10/19/2017

B
Arkansas 11/6/2023

B
Montana 10/19/2017

B
California 8/11/2016

B
Nevada 8/11/2016

B
Colorado 8/11/2016

B
New Jersey 8/11/2016

B
Connecticut 8/11/2016

B
New Mexico 12/1/2022

B
District of Columbia 3/15/2022

B
New York 8/11/2016

B
Florida 8/11/2016

B
North Carolina 8/12/2016

B
Georgia 8/11/2016

B
Ohio 8/12/2016

B
Hawaii 12/1/2022

B
Oklahoma 11/9/2016

B
Illinois 7/15/2016

B
Oregon 8/11/2016

IA
Illinois 7/25/2016

B
Pennsylvania 8/11/2016

B
Indiana 8/11/2016

B
South Carolina 8/11/2016

B
Iowa 8/11/2016

B
Tennessee 8/11/2016

B
Kansas 1/25/2021

B
Texas 8/11/2016

B
Kentucky 10/19/2017

IA
Texas 8/11/2016

B
Louisiana 8/11/2016

B
Virginia 8/11/2016

B
Maryland 12/1/2022

B
Washington 8/11/2016

B
Massachusetts 8/11/2016

B
West Virginia 10/23/2023

B
Michigan 8/11/2016

B
Wisconsin 8/11/2016

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)
30 S WACKER DR STE 4000, CHICAGO, IL 60606
Buffalo Grove, IL
Registered with this firm since 7/25/2016

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
30 S WACKER DR STE 4000, CHICAGO, IL 60606
Buffalo Grove, IL
Registered with this firm since 7/15/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/06/2016 - 07/25/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
01/11/2016 - 07/25/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
09/01/2015 - 01/05/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) WILMETTE, IL
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B
Broker
IA
Investment Adviser
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.