John L. Riutzel
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.
John Leslie Riutzel was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 9 firms and has passed the Series 63 and Series 7 exams.
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 - June 28, 2001
WELLS FARGO INVESTMENTS, LLC
March 15, 2001 - October 22, 2012
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
January 25, 1999 - March 16, 2006
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 15, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
April 14, 1994 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
January 2, 1991 - June 26, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 1988 - January 4, 1991
MORGAN STANLEY DW INC.
May 18, 1983 - September 20, 1988
KIDDER, PEABODY & CO. INCORPORATED
September 26, 1978 - June 3, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current 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.
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