Andrew F. Farley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Francis Farley was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1983. Andrew had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2009 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 24, 2009 - May 14, 2015
WELLS FARGO SECURITIES, LLC
July 22, 2008 - June 1, 2009
BANC OF AMERICA SECURITIES LLC
January 16, 2006 - June 25, 2008
UBS SECURITIES LLC
April 25, 1995 - January 16, 2006
UBS FINANCIAL SERVICES INC.
May 25, 1983 - April 25, 1995
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO BROKERAGE SERVICES, L.L.C.
CRD#: 16100 / SEC#: , 8-33283
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| HOGG, ALAN THOMAS | DIRECTOR, EXECUTIVE VICE PRESIDENT | 3019085 |
| MATTHIES, SILAS LANGDON JR | DIRECTOR/EXECUTIVE VICE PRESIDENT/ASSISTANT SECRETARY | 1385815 |
| MCGRORY, MATTHEW W. | DIRECTOR | 4917590 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER/VICE PRESIDENT | 724703 |
| SCHAEFER, MICHAEL ALLEN | DIRECTOR | 1599656 |
| SHREWSBERRY, JOHN RICHARD | DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT | 2264673 |
| ZELLMER, JO ANN | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2169167 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
