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
YERARD YESUS BAUZA
Yerard Y Bauza, Yerard Bauza, Yerard Yesus Bauza Quiaro, YERARD BAUZA QUIARO, Yerard Quiaro
CRD#: 6879137
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 86 N UNIVERSITY AVE
1ST & 2ND FLS
PROVO, UT 84601
Registration History
2018201920202021202220232024202520262 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - 2020 (<1 year)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BE*TRADE SECURITIES LLC (CRD# 29106)2018 - 2019 (<1 year)
License(s)

State Registrations

B
Arizona 9/6/2024
B
Texas 5/13/2024
B
California 5/30/2024
IA
Texas 5/13/2024
B
Connecticut 7/11/2024
B
Utah 7/15/2022
B
Florida 9/6/2024
IA
Utah 7/18/2022
B
Nevada 7/12/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
86 N UNIVERSITY AVE 1ST & 2ND FLS, PROVO, UT 84601
1985 E 7000 S, SALT LAKE CITY, UT 84121
Registered with this firm since 7/18/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
86 N UNIVERSITY AVE 1ST & 2ND FLS, PROVO, UT 84601
1985 E 7000 S, SALT LAKE CITY, UT 84121
Registered with this firm since 7/15/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/13/2021 - 05/03/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SALT LAKE CITY, UT
B
 01/13/2021 - 05/03/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SALT LAKE CITY, UT
IA
 09/28/2020 - 11/30/2020 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) SALT LAKE CITY, UT
B
 09/17/2020 - 11/27/2020 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SALT LAKE CITY, UT
IA
 08/20/2019 - 08/10/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SALT LAKE CITY, UT
B
 08/06/2019 - 08/10/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SALT LAKE CITY, UT
B
 07/26/2018 - 06/26/2019 E*TRADE SECURITIES LLC (CRD#:29106) SANDY, UT
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.