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Detailed Report
Registration History
198519901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2013 - Present (12 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2003 (3 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 2000 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1991 - 1993 (1 year)BGRUNTAL & CO. INCORPORATED (CRD# 372)1990 - 1991 (<1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1989 - 1990 (1 year)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1987 - 1989 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 1987 (5 years)
Disclosure(s)
View By:
6/11/2021
Customer Dispute
Pending
License(s)

State Registrations

B
Arizona 10/20/2005
B
New Jersey 7/1/2003
B
California 7/1/2003
IA
New Jersey 4/17/2013
B
Colorado 8/15/2024
B
New York 7/1/2003
B
Connecticut 5/19/2020
IA
New York 7/27/2021
B
Delaware 10/25/2006
B
North Carolina 10/16/2019
B
Florida 7/1/2003
B
Ohio 7/1/2003
IA
Florida 5/30/2013
B
Pennsylvania 3/9/2006
B
Georgia 2/26/2025
B
South Carolina 4/13/2021
B
Illinois 7/9/2014
B
Tennessee 3/11/2025
B
Maine 5/30/2024
B
Texas 4/24/2024
B
Maryland 7/1/2003
IA
Texas 4/24/2024
B
Massachusetts 7/29/2024
B
Utah 3/4/2025
B
Minnesota 5/30/2024
B
Virginia 7/1/2003
B
Nevada 5/28/2024

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)
Highland Beach, FL
1010 FRANKLIN AVE STE 100, GARDEN CITY, NY 11530
Registered with this firm since 4/17/2013
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
Highland Beach, FL
1010 FRANKLIN AVE STE 100, GARDEN CITY, NY 11530
Registered with this firm since 7/1/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/24/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 07/31/1993 - 05/26/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 11/05/1991 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 12/13/1990 - 10/22/1991 GRUNTAL & CO. INCORPORATED (CRD#:372) NEW YORK, NY
B
 10/12/1989 - 12/19/1990 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
 03/05/1987 - 10/30/1989 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
B
 04/13/1981 - 03/14/1987 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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.