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
ELIZABETH ANN POTTER
ELIZABETH POTTER
CRD#: 6981973
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 8115 PRESTON RD STE 300
[VB-RBO]
DALLAS, TX 75225
Registration History
202120222023202420252026IAWELLS FARGO ADVISORS (CRD# 19616)2022 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - Present (3 years)
License(s)

State Registrations

B
Arizona 12/8/2022
B
Mississippi 12/8/2022
B
California 12/8/2022
B
Missouri 12/8/2022
B
Colorado 12/8/2022
B
Nevada 12/8/2022
B
Florida 12/8/2022
B
New Jersey 1/12/2024
B
Georgia 12/8/2022
B
New York 12/8/2022
B
Hawaii 1/12/2024
B
Ohio 12/9/2022
B
Illinois 12/8/2022
B
Oklahoma 12/8/2022
B
Iowa 12/8/2022
B
South Carolina 2/11/2025
B
Kansas 1/13/2025
B
Tennessee 1/12/2024
B
Kentucky 12/8/2022
B
Texas 12/2/2022
B
Louisiana 12/8/2022
IA
Texas 12/2/2022
B
Massachusetts 7/17/2023
B
Virginia 12/8/2022
B
Michigan 12/8/2022
B
Wisconsin 12/8/2022
B
Minnesota 12/8/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, 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)
8115 PRESTON RD STE 300 [VB-RBO], DALLAS, TX 75225
Registered with this firm since 12/2/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
8115 PRESTON RD STE 300 [VB-RBO], DALLAS, TX 75225
Registered with this firm since 8/26/2021
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.