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Detailed Report
ROSS GOMPERTZ
CRD#: 7963963
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 770 TAMALPAIS DR STE 400
CORTE MADERA, CA 94925
Registration History
2024AprJulOct2025AprJulOct2026Apr2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Arizona 1/10/2025
B
Montana 1/10/2025
B
California 10/11/2024
B
Nevada 1/10/2025
IA
California 10/11/2024
B
New York 1/10/2025
B
Colorado 1/10/2025
B
North Carolina 1/10/2025
B
Delaware 1/10/2025
B
Ohio 1/13/2025
B
District of Columbia 1/10/2025
B
Oregon 1/10/2025
B
Florida 1/10/2025
B
Pennsylvania 1/10/2025
B
Hawaii 1/10/2025
B
South Carolina 1/10/2025
B
Idaho 1/10/2025
B
South Dakota 1/10/2025
B
Indiana 1/10/2025
B
Texas 1/10/2025
B
Maryland 1/10/2025
IA
Texas 1/10/2025
B
Massachusetts 1/10/2025
B
Virginia 1/10/2025
B
Missouri 1/10/2025
B
Washington 1/10/2025

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE 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)
770 TAMALPAIS DR STE 400, CORTE MADERA, CA 94925
Registered with this firm since 10/11/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
770 TAMALPAIS DR STE 400, CORTE MADERA, CA 94925
Registered with this firm since 9/20/2024
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.