Gary A. Aleff
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.
Gary Allen Aleff was a registered financial advisor .
Gary is a previously registered financial advisor and started their career in finance in 1973. Gary had worked at 9 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2004 - May 12, 2006
WELLS FARGO INVESTMENTS, LLC
August 20, 2002 - May 12, 2006
WELLS FARGO INVESTMENTS, LLC
January 29, 1999 - August 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1990 - January 22, 1999
PIPER SANDLER & CO.
May 23, 1988 - September 12, 1990
UBS FINANCIAL SERVICES INC.
November 21, 1983 - September 12, 1990
UBS FINANCIAL SERVICES INC.
December 8, 1980 - November 21, 1983
EDWARD JONES
August 10, 1977 - January 8, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
August 10, 1977 - January 8, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 1977 - January 8, 1981
IDS LIFE INSURANCE COMPANY
April 19, 1976 - October 1, 1977
WADDELL & REED
October 16, 1973 - May 19, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
October 16, 1973 - May 19, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
October 16, 1973 - May 19, 1976
IDS LIFE INSURANCE COMPANY
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
PC
Date: 10/5/1988
AMEX Put and Call ExamSeries 1
Date: 10/5/1973
Registered Representative ExaminationCurrent Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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.
