Jo A. Zellmer
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.
Jo Ann Zellmer, who also goes by Jo Ann Bottensek, was a registered financial professional .
Jo is a previously registered financial professional and started their career in finance in 1991. Jo had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 7, Series 9, Series 10, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2009 - March 24, 2017
WELLS FARGO SECURITIES, LLC
May 12, 2008 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 12, 2008 - March 27, 2015
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
October 11, 2005 - May 12, 2008
NORTHLAND SECURITIES, INC.
October 23, 2002 - October 14, 2005
PIPER SANDLER & CO.
May 14, 2001 - August 7, 2002
MARQUETTE FINANCIAL GROUP, INC.
April 9, 2001 - May 11, 2001
THINKEQUITY LLC
March 18, 1999 - April 6, 2001
MARQUETTE FINANCIAL GROUP, INC.
October 18, 1991 - March 18, 1999
JOHN G. KINNARD AND COMPANY, INCORPORATED
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 SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
