Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
STEVAN PAUL HORVATH
CRD#: 809775
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 SAN CARLOS AND OCEAN AVE
CARMEL, CA 93923
Registration History
197519801985199019952000200520102015202020252 FIRMS2003 - 2008 (4 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - Present (5 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1983 - 2003 (19 years)BSHEARSON/AMERICAN EXPRESS INC. (CRD# 7506)1980 - 1983 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1978 - 1980 (2 years)BDEAN WITTER & CO. INCORPORATED (CRD# 6466)1975 - 1978 (2 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (5 years)
Disclosure(s)
View By:
9/20/1988
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/8/2019
B
North Carolina 8/4/2021
B
California 6/8/2019
B
Oregon 6/8/2019
IA
California 6/11/2019
B
Tennessee 3/4/2025
B
Colorado 8/4/2021
B
Texas 8/4/2021
B
Florida 5/14/2024
IA
Texas 8/4/2021
B
Hawaii 6/8/2019
B
Virginia 3/4/2025
B
Nevada 6/8/2019
B
Washington 8/4/2021

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)
SAN CARLOS AND OCEAN AVE, CARMEL, CA 93923
447 CANYON DEL REY BLVD, DEL REY OAKS, CA 93940
Registered with this firm since 6/11/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
SAN CARLOS AND OCEAN AVE, CARMEL, CA 93923
447 CANYON DEL REY BLVD, DEL REY OAKS, CA 93940
Registered with this firm since 6/7/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 06/12/2019 MORGAN STANLEY (CRD#:149777) MONTEREY, CA
B
 06/01/2009 - 06/12/2019 MORGAN STANLEY (CRD#:149777) MONTEREY, CA
IA
 02/25/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MONTEREY, CA
B
 02/22/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MONTEREY, CA
IA
 07/01/2003 - 02/19/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CARMEL, CA
B
 07/01/2003 - 02/19/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CARMEL, CA
IA
 03/27/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) CARMEL, CA
B
 08/02/1983 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 04/09/1980 - 08/11/1983 SHEARSON/AMERICAN EXPRESS INC. (CRD#:7506)
B
 02/24/1978 - 05/03/1980 DEAN WITTER REYNOLDS INC. (CRD#:7556)
B
 07/01/1975 - 02/24/1978 DEAN WITTER & CO. INCORPORATED (CRD#:6466)
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.