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
PAXTON DOUGLAS LINDNER PUELZ
Paxton D. L. Puelz, Paxton Puelz
CRD#: 6938011
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4303 S 70TH ST
LINCOLN, NE 68516
Registration History
201920202021202220232024202520262 FIRMS2019 - 2020 (1 year)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Arizona 5/31/2024
IA
Kansas 12/20/2023
B
California 10/24/2022
B
Minnesota 6/5/2024
B
Colorado 3/11/2024
B
Nebraska 10/24/2022
B
Florida 5/15/2024
IA
Nebraska 10/24/2022
B
Iowa 1/8/2025
B
North Dakota 2/11/2025
B
Kansas 5/11/2023
B
Oklahoma 5/22/2024

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)
4303 S 70TH ST, LINCOLN, NE 68516
Registered with this firm since 10/24/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4303 S 70TH ST, LINCOLN, NE 68516
Registered with this firm since 10/24/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/29/2021 - 10/10/2022 LPL FINANCIAL LLC (CRD#:6413) LINCOLN, NE
B
 01/29/2021 - 10/10/2022 LPL FINANCIAL LLC (CRD#:6413) LINCOLN, NE
IA
 09/25/2019 - 11/10/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LINCOLN, NE
B
 07/23/2019 - 11/10/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LINCOLN, NE
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.