Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
STEPHEN RASHID COOPER
STEPHEN COOPER
CRD#: 6708936
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 930 ASSEMBLY ST
COLUMBIA, SC 29201
Registration History
20162017201820192020202120222023202420252026IAWELLS FARGO ADVISORS (CRD# 19616)2017 - Present (8 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 8/13/2019
B
Nevada 8/13/2019
B
Alaska 8/13/2019
B
New Hampshire 8/13/2019
B
Arizona 8/13/2019
B
New Jersey 8/13/2019
B
Arkansas 8/13/2019
B
New Mexico 8/13/2019
B
California 8/13/2019
B
New York 8/13/2019
B
Colorado 8/13/2019
B
North Carolina 12/1/2016
B
Connecticut 8/13/2019
IA
North Carolina 1/3/2017
B
Delaware 8/13/2019
B
North Dakota 8/13/2019
B
District of Columbia 8/13/2019
B
Ohio 8/14/2019
B
Florida 8/13/2019
B
Oklahoma 8/13/2019
B
Georgia 8/13/2019
B
Oregon 8/13/2019
B
Hawaii 8/13/2019
B
Pennsylvania 8/13/2019
B
Idaho 8/13/2019
B
Puerto Rico 8/13/2019
B
Illinois 8/13/2019
B
Rhode Island 8/13/2019
B
Indiana 8/13/2019
B
South Carolina 8/13/2019
B
Iowa 8/13/2019
IA
South Carolina 3/12/2024
B
Kansas 8/13/2019
B
South Dakota 8/13/2019
B
Kentucky 8/13/2019
B
Tennessee 8/13/2019
B
Louisiana 8/13/2019
B
Texas 8/13/2019
B
Maine 8/13/2019
IA
Texas 8/14/2019
B
Maryland 8/13/2019
B
Utah 8/13/2019
B
Massachusetts 8/13/2019
B
Vermont 8/13/2019
B
Michigan 8/13/2019
B
Virgin Islands 8/13/2019
B
Minnesota 8/13/2019
B
Virginia 8/13/2019
B
Mississippi 8/13/2019
B
Washington 8/13/2019
B
Missouri 8/13/2019
B
West Virginia 8/13/2019
B
Montana 8/13/2019
B
Wisconsin 8/13/2019
B
Nebraska 8/13/2019
B
Wyoming 8/13/2019

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)
930 ASSEMBLY ST, COLUMBIA, SC 29201
Registered with this firm since 1/3/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
930 ASSEMBLY ST, COLUMBIA, SC 29201
Registered with this firm since 11/21/2016
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.