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Detailed Report
ANDREW JAMES WEBER
Andrew Weber
CRD#: 7054560
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5820 NAVE DR
NOVATO, CA 94949
Registration History
2010201220142016201820202022202420262 FIRMS2019 - 2020 (1 year)2 FIRMS2023 - Present (2 years)BINFINITY FINANCIAL SERVICES (CRD# 144302)2022 - 2022 (<1 year)IAKARP CAPITAL MANAGEMENT CORPOR... (CRD# 131834)2020 - 2022 (2 years)
Disclosure(s)
View By:
6/25/2009
Criminal
Final Disposition
License(s)

State Registrations

IA
California 3/13/2023
B
California 4/3/2023

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)
5820 NAVE DR, NOVATO, CA 94949
Registered with this firm since 3/13/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5820 NAVE DR, NOVATO, CA 94949
Registered with this firm since 3/10/2023
Previous Registration(s)
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IA
 07/10/2020 - 09/11/2022 KARP CAPITAL MANAGEMENT CORPORATION (CRD#:131834) Sausalito, CA
B
 04/11/2022 - 07/15/2022 INFINITY FINANCIAL SERVICES (CRD#:144302) OAKLAND, CA
IA
 04/05/2019 - 05/27/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
B
 03/07/2019 - 05/27/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
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.