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HARRY HERMAWAN SAPUTRA
HARRY SAPUTRA, Harry Hermawan Saputra
CRD#: 6901640
IA
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WELLS FARGO ADVISORSCRD#: 19616 1045 RALSTON AVE
BELMONT, CA 94002
BELMONT, CA 94002
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Disclosures
5
Years of Experience
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State Registrations
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California 11/2/2022
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California 2/22/2023
SRO Registrations
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Registered with this firm since 2/22/2023
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Registered with this firm since 11/2/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/17/2020 - 06/02/2021 | REDWOOD CITY, CA | |
B | 02/20/2018 - 10/29/2020 | REDWOOD CITY, CA |
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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.