Individual Firm
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BARRY BERNARD SPADONI
CRD#: 839068
IA
B
WELLS FARGO ADVISORSCRD#: 19616 21600 OXNARD ST, 18TH FL, TOWER I
WARNER CENTER TOWERS
WOODLAND HILLS, CA 91367
WARNER CENTER TOWERS
WOODLAND HILLS, CA 91367
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3/3/2009
Customer Dispute
Denied
3/1/2001
Customer Dispute
Denied
State Registrations
B
California 9/4/1990
B
Nevada 4/26/2005
IA
California 5/13/2003
B
North Carolina 2/14/2007
B
Connecticut 7/12/2021
B
Oregon 9/4/1990
B
Georgia 9/13/2024
B
Texas 4/4/2025
B
Idaho 9/22/2020
IA
Texas 4/5/2025
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 5/13/2003
B
Registered with this firm since 9/4/1990
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/27/1986 - 09/04/1990 | ||
B | 10/01/1984 - 11/10/1986 |
10/01/1984 - 11/10/1986
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.