Category: Wells Fargo Advisors

Iliasser Robin Arias (CRD#: 3199210) is a registered broker and investment advisor with Wells Fargo Clearing Services, LLC, in New York, NY. Broker’s History He entered the securities industry in 1999 and previously worked with GKN Securities Corp.; Investec Ernst & Company; Maxim Group LLC; Chase Investment Services, Corp.; and J.P Morgan Securities LLC. Allegations […]

Kerrie Coe (CRD#: 4951159) is a registered broker with Wells Fargo Clearing Services, LLC, in Indianapolis, IN.   Broker’s History She entered the securities industry in 2005 and previously worked with Banc One Securities Corporation, Chase Investment Services Corp., J.P Morgan Securities LLC, and Cetera Investment Services LLC.   Current and Past Allegations of Conduct […]

Kenneth A. Welsh (CRD#: 4657872) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2004 and previously worked with Morgan Stanley; Morgan Stanley & Co. Incorporated; and Wells Fargo Clearing Services, LLC. Allegations of Misconduct According to publicly available records released by the U.S Securities and Exchange Commission […]

James Roy Paige (CRD#1726609) is a Registered Broker and Investment Advisor with Wells Fargo Clearing Services, LLC in Vero Beach, FL. Broker’s Background He entered the securities industry in 1987 and previously worked with Blinder, Robinson & Co., Inc.; Morgan Stanley DW Inc.; and Morgan Stanley & Co. Incorporated. Current and Past Allegations of Conduct […]

Mario Everildo Rivero Jr. (CRD#: 5856503) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2015 and previously worked with Wells Fargo Clearing Services, LLC, and LPL Financial LLC. Allegations of Misconduct According to publicly available records released by the United States Securities and Exchange Commission (SEC), in […]

Sanford M. Katz (CRD#: 1558898) is a registered broker and investment advisor at Wells Fargo Clearing Services, LLC. Broker’s Background He entered the securities industry in 1986 and previously worked with Goldman, Sachs & Co.; UBS Financial Services, Inc.; and Credit Suisse Securities (USA) LLC. Allegations of Misconduct According to publicly available records released by […]

George John Cairnes (CRD#: 4068906) was a previously registered investment advisor and broker. Broker’s Background He entered the securities industry in 2000 and has previously worked for Chelsea Financial Services; Wells Fargo Clearing Services, LLC; Wells Fargo Investments, LLC; Stanford Group Company; and Merril Lynch, Pierce, Fenner, & Smith Incorporated. Current Allegations of Conduct Leading […]

Adam T. Marquardt (CRD#: 5307192) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2007 and previously worked for Cetera Advisors, LLC; Wells Fargo Advisors Financial Network, LLC; Wells Fargo Advisors, LLC; and A.G. Edwards & Sons, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Xiangyu Zhang (CRD#: 5050282), also known as Sean Zhang, is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2005 and previously worked for Wells Fargo Clearing Services, LLC; LPL Financial LLC; Cetera Investment Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Banc of America Investment Services, […]

David Kraft (CRD#: 2356400) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 1993 and previously worked for Morgan Stanley, Wells Fargo Advisors, LLC; Morgan Keegan & Company, Inc.; and UBS Painewebber, Inc.   Allegations Of Conduct Leading To Investment Loss   According to […]