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
KIMBERLY SHORES
Kim Shores, Kimberly J Shores, Kimberly Joyce Shores, Kimberly Shores, Kim Tamraz…
CRD#: 6736828
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4655 EXECUTIVE DR STE 1000
[SC/SJ-RBO]
SAN DIEGO, CA 92121
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - Present (7 years)
License(s)

State Registrations

B
California 2/13/2018
B
Oregon 10/12/2023
IA
California 2/13/2018

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)
4655 EXECUTIVE DR STE 1000 [SC/SJ-RBO], SAN DIEGO, CA 92121
Registered with this firm since 2/13/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4655 EXECUTIVE DR STE 1000 [SC/SJ-RBO], SAN DIEGO, CA 92121
Registered with this firm since 2/13/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/14/2017 - 01/22/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
 01/03/2017 - 01/22/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
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.