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Detailed Report
Registration History
1980198519901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2010 - Present (14 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1977 - 2008 (30 years)BWATLING, LERCHEN & CO. INCORPO... (CRD# 874)1976 - 1978 (1 year)
Disclosure(s)
View By:
2/18/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 5/16/2019
B
Missouri 5/16/2019
B
Arizona 5/16/2019
B
Nebraska 4/18/2022
B
California 1/1/2008
B
New Jersey 5/16/2019
B
Colorado 5/16/2019
B
New Mexico 4/9/2024
B
Connecticut 5/16/2019
B
New York 5/16/2019
B
District of Columbia 8/29/2024
B
North Carolina 1/1/2008
B
Florida 1/1/2008
B
Ohio 1/8/2018
B
Georgia 1/1/2008
B
Oklahoma 10/20/2023
B
Idaho 5/16/2019
B
Oregon 5/16/2019
B
Illinois 5/16/2019
B
Pennsylvania 5/16/2019
B
Indiana 5/16/2019
B
South Carolina 5/16/2019
B
Kansas 1/14/2025
B
Tennessee 7/31/2019
B
Kentucky 5/16/2019
B
Texas 5/16/2019
B
Massachusetts 5/16/2019
IA
Texas 5/19/2019
B
Michigan 1/1/2008
B
Vermont 5/16/2019
IA
Michigan 6/4/2010
B
Virginia 5/16/2019
B
Minnesota 5/16/2019
B
Washington 5/16/2019

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)
5406 GATEWAY CTR STE D, FLINT, MI 48507
Fenton, MI
Registered with this firm since 6/4/2010
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5406 GATEWAY CTR STE D, FLINT, MI 48507
Fenton, MI
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/02/1977 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) FLINT, MI
B
 09/23/1976 - 03/13/1978 WATLING, LERCHEN & CO. INCORPORATED (CRD#:874)
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.