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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)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2008 (14 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1983 - 1988 (4 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1979 - 1983 (4 years)
Disclosure(s)
View By:
12/19/1998
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/15/2008
B
Montana 2/15/2008
B
Arkansas 2/15/2008
B
Nebraska 10/28/2024
B
California 2/15/2008
B
Nevada 8/15/2019
B
Colorado 2/15/2008
B
New Jersey 11/9/2018
B
Florida 2/15/2008
B
North Carolina 7/20/2021
B
Idaho 8/11/2020
B
North Dakota 7/27/2020
B
Kansas 2/4/2025
B
Texas 4/27/2020
B
Michigan 2/15/2008
IA
Texas 4/27/2020
IA
Michigan 9/24/2010
B
Washington 2/15/2008
B
Missouri 2/15/2008

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)
KEWADIN, MI
18700 N HAYDEN RD STE 525, SCOTTSDALE, AZ 85255
Registered with this firm since 9/24/2010
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
KEWADIN, MI
18700 N HAYDEN RD STE 525, SCOTTSDALE, AZ 85255
Registered with this firm since 2/15/2008
Previous Registration(s)
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B
 07/31/1993 - 02/28/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) KEWADIN, MI
B
 02/15/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 04/20/1983 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 03/01/1979 - 04/05/1983 E. F. HUTTON & COMPANY INC (CRD#:235)
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.