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Detailed Report
ROBERT FRANKLIN SHWEDEL
CRD#: 831364
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2033 N MAIN ST STE 800
WALNUT CREEK, CA 94596
Registration History
19801985199019952000200520102015202020252 FIRMS1977 - 1978 (1 year)2 FIRMS1998 - 2006 (8 years)2 FIRMS2006 - 2012 (6 years)2 FIRMS2012 - Present (12 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1998 (5 years)BLEHMAN BROTHERS INC. (CRD# 7506)1979 - 1993 (14 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1978 - 1991 (13 years)BFIRST AFFILIATED SECURITIES, INC. (CRD# 6871)1978 - 1979 (<1 year)
License(s)

State Registrations

B
Arizona 11/1/2012
B
Nevada 11/1/2012
B
California 11/1/2012
B
Oregon 11/1/2012
IA
California 11/2/2012
B
Texas 11/24/2020
B
Massachusetts 11/1/2012
IA
Texas 11/30/2020
B
Michigan 11/1/2012
B
Washington 11/1/2012

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)
2033 N MAIN ST STE 800, WALNUT CREEK, CA 94596
Registered with this firm since 11/1/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2033 N MAIN ST STE 800, WALNUT CREEK, CA 94596
Registered with this firm since 11/1/2012
Previous Registration(s)
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IA
 08/12/2006 - 11/09/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) WALNUT CREEK, CA
B
 08/12/2006 - 11/09/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) WALNUT CREEK, CA
IA
 11/04/1998 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) WALNUT CREEK, CA
B
 07/27/1998 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) WALNUT CREEK, CA
B
 07/31/1993 - 07/28/1998 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 04/17/1979 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 02/24/1978 - 02/20/1991 DEAN WITTER REYNOLDS INC. (CRD#:7556)
B
 09/20/1978 - 05/14/1979 FIRST AFFILIATED SECURITIES, INC. (CRD#:6871)
B
 08/08/1977 - 11/24/1978 PAINE, WEBBER, JACKSON & CURTIS INCORPORATED (CRD#:640)
B
 01/03/1977 - 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.