Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wells Fargo Advisors Financial Network, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| James Hunter Dryden | 1717900 | 1 | 09/09/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Parkin | 2974077 | 2 | 10/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Goshen | 1276435 | 2 | 05/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Kristine Ochs | 7188599 | 3 | 05/02/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Kristine Ochs | 7188599 | 3 | 04/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Kristine Ochs | 7188599 | 3 | 04/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philipp Wagener | 4765648 | 1 | 03/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel J Bavuso | 2460730 | 4 | 10/26/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Priscilla Renee Archuleta | 6761303 | 1 | 07/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mindy Spencer | 2448886 | 4 | 07/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |