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 |
|---|---|---|---|---|---|---|---|---|
| John Kellar | 1436046 | 6 | 02/14/2014 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Marvin Dean Ferguson | 2119935 | 6 | 01/03/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Alan J Smiley | 1646598 | 1 | 07/06/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Brunst | 2785221 | 1 | 01/11/2011 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Caleb Aaron Lowman | 4623844 | 1 | 04/24/2008 | Customer Dispute | Withdrawn | $73,273.20 | $0.00 | See FINRA Report |
| Kenneth Michael Helman | 3114948 | 2 | 02/21/2006 | Customer Dispute | Withdrawn | $7,500.00 | $0.00 | See FINRA Report |
| Joseph Richard Azzara | 2540104 | 1 | 06/07/2005 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Christian Reynolds Parker | 3182647 | 3 | 03/23/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Friedman | 1101794 | 3 | 07/19/2001 | Customer Dispute | Withdrawn | $7,000.00 | $0.00 | See FINRA Report |
| Ronald Lou Fritze | 1158763 | 2 | 01/26/2001 | Customer Dispute | Withdrawn | $399,379.00 | $0.00 | See FINRA Report |