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Detailed Report
DANIEL RICHARD SIEMAN
CRD#: 7749079
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 461 FROM RD STE 101
PARAMUS, NJ 07652
Registration History
Oct2024AprJulOct2025AprJulOct2026Apr2 FIRMS2024 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Florida 12/12/2024
IA
New Jersey 12/12/2024
B
Massachusetts 12/12/2024
B
New York 12/12/2024
B
New Jersey 12/12/2024
B
Virginia 4/10/2025

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)
461 FROM RD STE 101, PARAMUS, NJ 07652
Registered with this firm since 12/12/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
461 FROM RD STE 101, PARAMUS, NJ 07652
Registered with this firm since 12/12/2024
Previous Registration(s)
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IA
 11/14/2024 - 12/24/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
B
 08/15/2024 - 12/24/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
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.