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Category Wells Fargo Advisors

Wells Fargo Financial Advisor Tyler Rigsbee Barred After Allegations of Mishandling Customer Accounts

July 23, 2021

Tyler Rigsbee (CRD#: 6351278) was a previously registered Broker and Investment Advisor at Wells Fargo Clearing Services, LLC in Sacramento, CA. He entered the securities industry in 2014 and previously worked for Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2021, FINRA sanctioned Tyler Rigsbee, barring…

First Financial Equity Corp. Investment Advisor Scott Wayne Reed Barred by FINRA After Allegations of Selling Away

February 28, 2021

Scott Wayne Reed (CRD#: 3007033) was an Financial Advisor at First Financial Equity Corporation and Wells Fargo Advisors in Scottsdale, AZ. He entered the securities industry in 1999 and previously worked for Coastal Equities, Inc.; Accelerated Capital Group; Meridian United Capital, LLC; Fidelity Brokerage Services, LLC; and Ameritrade. According to publicly available records released by…

Wells Fargo Clearing Services, LLC Broker, Kevin Schaefer, Has Had Six Customer Complaint Disclosures Throughout His Career

January 11, 2021

Kevin Schaefer (CRD # 1286030) is a Financial Advisor at Wells Fargo Clearing Services, LLC in San Francisco, CA. Kevin Schaffer has been in the securities industry since 1984. Kevin Schaffer worked for Merrill Lunch, Pierce, Fenner & Smith Incorporated from 2011-2019. Kevin Schaefer’s employment history also includes UBS Financial Services Inc, Smith Barney Shearson…

Former Wells Fargo Broker, Kurt Gunter, Suspended By FINRA Relating To Sales of Unit Investment Trusts (UITs)

December 27, 2020

Kurt Gunter (CRD # 2747789) was a Financial Advisor at Wells Fargo Advisors in Bee Cave, Texas. Kurt Gunter has been in the securities industry since 1996 and previously worked at Stifel, Nicolaus & Co. and Raymond James. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on Novbember 20, 2020,…

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