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Detailed Report
LOUIS VINGI
Malone Vingi
CRD#: 7401127
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 320 BROAD ST 4TH FL
[RBO]
CHARLESTON, SC 29401
Registration History
202120222023202420252026IAWELLS FARGO ADVISORS (CRD# 19616)2023 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2022 - Present (2 years)BJEFFERIES LLC (CRD# 2347)2021 - 2022 (1 year)
License(s)

State Registrations

B
Alabama 1/9/2023
B
New Mexico 1/9/2023
B
Alaska 7/31/2024
B
New York 1/9/2023
B
California 1/9/2023
B
North Carolina 1/9/2023
B
Colorado 1/9/2023
B
Pennsylvania 1/9/2023
B
Connecticut 1/9/2023
B
South Carolina 12/14/2022
B
Delaware 1/9/2023
IA
South Carolina 1/9/2023
B
District of Columbia 1/9/2023
B
South Dakota 5/9/2024
B
Florida 1/9/2023
B
Tennessee 1/9/2023
B
Georgia 1/9/2023
B
Texas 1/9/2023
B
Maine 1/9/2023
IA
Texas 1/9/2023
B
Maryland 1/9/2023
B
Vermont 1/9/2023
B
Massachusetts 9/13/2024
B
Virginia 1/9/2023
B
Missouri 1/9/2023
B
Washington 1/9/2023
B
New Jersey 1/9/2023
B
Wisconsin 11/25/2024

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)
320 BROAD ST 4TH FL [RBO], CHARLESTON, SC 29401
Registered with this firm since 1/9/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
320 BROAD ST 4TH FL [RBO], CHARLESTON, SC 29401
Registered with this firm since 12/14/2022
Previous Registration(s)
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B
 08/02/2021 - 10/17/2022 JEFFERIES LLC (CRD#:2347) CHARLOTTE, NC
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.