Stanley M. Wise
Professional summary
Stanley Merrill Wise was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stanley is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Stanley had worked at 13 firms, which includes WELLS FARGO INVESTMENTS LLC, WELLS FARGO SECURITIES INC., BA INVESTMENT SERVICES INC., MARKETING ONE SECURITIES INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, GLENFED BROKERAGE SERVICES, FIRST CALIFORNIA CAPITAL MARKETS GROUP INC., SENTRA SECURITIES CORPORATION, CHRISTOPHER WEIL & COMPANY INC, SUTRO & CO. INCORPORATED, UR FINANCIAL INC., BATEMAN EICHLER HILL RICHARDS INCORPORATED, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2001 - July 3, 2001
WELLS FARGO INVESTMENTS, LLC
January 14, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
June 16, 1994 - December 8, 1998
BA INVESTMENT SERVICES, INC.
June 16, 1993 - May 4, 1994
MARKETING ONE SECURITIES, INC.
April 10, 1992 - June 3, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 23, 1990 - March 23, 1992
GLENFED BROKERAGE SERVICES
November 1, 1989 - March 19, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
November 14, 1988 - October 3, 1989
SENTRA SECURITIES CORPORATION
June 25, 1987 - October 31, 1988
CHRISTOPHER WEIL & COMPANY, INC
October 7, 1985 - July 1, 1987
SUTRO & CO. INCORPORATED
May 8, 1985 - September 16, 1985
UR FINANCIAL, INC.
July 20, 1982 - March 11, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 29, 1982 - July 23, 1982
UBS FINANCIAL SERVICES INC.
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
Series 1
Date: 9/26/1968
Registered Representative ExaminationSeries 8
Date: 7/18/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 7/10/1975
General Securities Principal 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
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