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 |
|---|---|---|---|---|---|---|---|---|
| Michael J McCarthy | 4965007 | 2 | 11/02/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lacrissa Marie Henton | 5559101 | 1 | 09/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Craig Barth | 1600781 | 9 | 04/04/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Michael Racicot | 4066178 | 2 | 07/05/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Craig Barth | 1600781 | 9 | 05/04/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Craig Barth | 1600781 | 9 | 02/09/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shantele Marie Lewis | 2070524 | 7 | 03/04/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shantele Marie Lewis | 2070524 | 7 | 07/18/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Craig Barth | 1600781 | 9 | 06/05/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shantele Marie Lewis | 2070524 | 7 | 03/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |