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Detailed Report
ETHAN CODY FESPERMAN
ETHAN FESPERMAN
CRD#: 6917370
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1525 WEST WT HARRIS BLVD
BLDG 3 - 3RD FL
CHARLOTTE, NC 28262
Registration History
2018201920202021202220232024202520262 FIRMS2018 - Present (6 years)
Disclosure(s)
View By:
11/14/2018
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 5/4/2018
B
Nevada 5/4/2018
B
Alaska 5/4/2018
B
New Hampshire 5/4/2018
B
Arizona 5/4/2018
B
New Jersey 5/4/2018
B
Arkansas 5/4/2018
B
New Mexico 5/4/2018
B
California 5/4/2018
B
New York 5/4/2018
B
Colorado 5/4/2018
B
North Carolina 5/4/2018
B
Connecticut 5/4/2018
IA
North Carolina 5/4/2018
B
Delaware 5/4/2018
B
North Dakota 5/4/2018
B
District of Columbia 5/4/2018
B
Ohio 5/4/2018
B
Florida 5/4/2018
B
Oklahoma 5/4/2018
B
Georgia 5/4/2018
B
Oregon 5/4/2018
B
Hawaii 5/4/2018
B
Pennsylvania 5/4/2018
B
Idaho 5/4/2018
B
Puerto Rico 5/4/2018
B
Illinois 5/4/2018
B
Rhode Island 5/4/2018
B
Indiana 5/4/2018
B
South Carolina 5/4/2018
B
Iowa 5/4/2018
B
South Dakota 5/4/2018
B
Kansas 5/4/2018
B
Tennessee 5/4/2018
B
Kentucky 5/4/2018
B
Texas 5/4/2018
B
Louisiana 5/4/2018
IA
Texas 5/4/2018
B
Maine 5/4/2018
B
Utah 5/4/2018
B
Maryland 5/4/2018
B
Vermont 5/4/2018
B
Massachusetts 5/4/2018
B
Virgin Islands 5/4/2018
B
Michigan 5/4/2018
B
Virginia 5/4/2018
B
Minnesota 5/4/2018
B
Washington 5/4/2018
B
Mississippi 5/4/2018
B
West Virginia 5/4/2018
B
Missouri 5/4/2018
B
Wisconsin 5/4/2018
B
Montana 5/4/2018
B
Wyoming 5/4/2018
B
Nebraska 5/4/2018

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)
1525 WEST WT HARRIS BLVD BLDG 3 - 3RD FL, CHARLOTTE, NC 28262
Statesville, NC
Registered with this firm since 5/4/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1525 WEST WT HARRIS BLVD BLDG 3 - 3RD FL, CHARLOTTE, NC 28262
Statesville, NC
Registered with this firm since 4/6/2018
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.