Samuel Ramli

CRD 4233870 · Wells Fargo Advisors · Westlake Village, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 6Series 26Series 65Series 63
Registered states (6): Arizona · California · Maryland · New Jersey · Oregon · Texas
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (11)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Westlake Village, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Westlake Village, CA · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
Woodland Hills, CA · IA capacity

Nov 9, 2017 → Oct 5, 2024
J.P. Morgan Securities LLC
Woodland Hills, CA · BC capacity

Nov 9, 2017 → Oct 5, 2024
Ubs Financial Services Inc.
Westlake Village, CA · IA capacity

Aug 8, 2016 → Sep 27, 2017
Ubs Financial Services Inc.
Westlake Village, CA · BC capacity

Jul 14, 2016 → Sep 27, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Westlake Village, CA · BC capacity

Oct 23, 2009 → Nov 21, 2014
Banc Of America Investment Services, Inc.
Westlake Village, CA · BC capacity

Mar 3, 2005 → Oct 23, 2009
Citicorp Investment Services
Long Island City, NY · BC capacity

Jul 25, 2003 → Feb 2, 2005
Merrill Lynch Pierce Fenner & Smith Inc.
Beverly Hills, CA · IA capacity

Jan 23, 2001 → Feb 3, 2003
Wma Securities, Inc.
Duluth, GA · BC capacity

Jul 21, 2000 → Aug 29, 2000

Source & corrections

Where this page comes from

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