Search for: "WELLS FARGO ADVISORS, LLC"
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18 Jan 2019, 9:35 am
(CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. [read post]
20 Feb 2017, 8:59 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Across its private client, independent brokerage and in-bank brokerage channels, Wells Fargo Advisors experienced a net loss of 204 brokers during the fourth quarter of this past year. [read post]
28 Jun 2018, 1:00 pm
John Greg Schmidt (CRD #708094) is a former registered stockbroker and investment advisor whose last known employer was Wells Fargo Advisors Financial Network, LLC (CRD #11025) in Dayton, OH. [read post]
28 Jan 2019, 8:29 am
On January 2, 2019, the Southern District of New York (SDNY) in Wells Fargo Advisors LLC v. [read post]
23 Jul 2018, 11:53 am
Wells Fargo Advisors to Pay $8.6M, UBS Pays $4.3M Have you suffered losses investing in Puerto Rico bonds at the recommendation of your financial advisor? [read post]
15 Jan 2019, 7:19 am
Previous employment included Wells Fargo Advisors, LLC from Jan 2008 to November 2011, Wachovia Securities, LLC from January 2008 to May 2009 and A. [read post]
3 May 2021, 2:25 pm
Prior to that, Reed spent four years at Wells Fargo Clearing Services, LLC (CRD#: 19616) in Scottsdale, Arizona. [read post]
30 Mar 2015, 6:36 am
From 2003 until present Debaise has been registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
10 Feb 2017, 11:25 am
A somewhat refreshing aspect of the case is the candid response by Respondent Wells Fargo Advisors, LLC that essentially amounts to a shrug and a bit of a sheepish grin. [read post]
11 Oct 2018, 5:03 pm
Former Wells Fargo Broker Faces Elder Investor Fraud Charges The US Securities and Exchange Commission has filed broker fraud-related charges against former John Greg Schmidt, a former broker for Stifel, Nicholaus and Company (SF) and Wells Fargo Financial Network LLC (WFC). [read post]
8 Dec 2023, 11:11 am
The post Wells Fargo Broker Joe David Gainer Jr. [read post]
28 Mar 2023, 8:52 am
Sevag Haddadian (Sevag Raffi Haddadian CRD# 3249290) is a previously registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Brea, CA. [read post]
24 Apr 2015, 11:46 am
Parthemer was employed and licensed to recommend the purchase and sale of securities by Morgan Stanley Smith Barney LLC from June 2009 through October 2011, and from October 2011 through March 2013 with Wells Fargo Advisors, LLC. [read post]
13 Sep 2018, 9:16 am
(CRD #124583), also of Wimberly, as well as Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) and Wells Fargo Advisors, LLC (CRD #19616), both of Austin, TX. [read post]
11 Jul 2013, 7:25 am
Inc., Wells Fargo Advisors, TD Ameritrade Inc. [read post]
20 Apr 2022, 2:13 pm
Fortner CRD# 4811478) is a former registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Beverly Hills, CA. [read post]
27 Jan 2017, 10:59 am
Plate was most recently registered as a broker from May 2005 to June 2014 with Wells Fargo Advisors Financial Network, LLC out of the broker-dealer’s Orlando, Florida office. [read post]
27 Jan 2017, 10:59 am
Plate was most recently registered as a broker from May 2005 to June 2014 with Wells Fargo Advisors Financial Network, LLC out of the broker-dealer’s Orlando, Florida office. [read post]
2 Jan 2015, 4:45 am
McClure from the securities industry for converting nearly $89,000 from an elderly customer’s bank account while working for Wells Fargo Advisors, LLC and an affiliated bank in Chico, California. [read post]
31 Jan 2019, 7:56 am
Michael Turner Morrissett (CRD #1456789) is a registered broker and investment advisor who is currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Roanoke, VA. [read post]
