Joseph John Ulloa

CRD 451439 · Wells Fargo Advisors · La Jolla, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (15): Series 52TOSeries 7TOSIESeries 15Series 5Series 000Series 1Series 10Series 9Series 53Series 24Series 4Series 12Series 63Series 65
Registered states (16): Arizona · California · Colorado · Florida · Georgia · Illinois · Kansas · Massachusetts · Michigan · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon
Years in the industry (source record): 56
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 451439 contains one or more disclosure events as of Aug 20, 2026.

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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 Clearing Services, LLCCurrent
La Jolla, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
La Jolla, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
La Jolla, CA · IA capacity

start not retrieved → present
Morgan Stanley & Co. Incorporated
San Diego, CA · IA capacity

Apr 2, 2007 → Oct 8, 2008
Morgan Stanley & Co. Incorporated
San Diego, CA · BC capacity

Apr 2, 2007 → Oct 8, 2008
Morgan Stanley
San Diego, CA · IA capacity

Apr 2, 2004 → Apr 2, 2007
Morgan Stanley Dw Inc.
San Diego, CA · BC capacity

Apr 2, 2004 → Apr 2, 2007
Salomon Smith Barney Inc.
New York, NY · BC capacity

Jul 31, 1993 → Feb 16, 2000
Lehman Brothers Inc.
New York, NY · BC capacity

Apr 11, 1988 → Jul 31, 1993
E. F. Hutton & Company Inc
BC capacity

Aug 8, 1979 → Apr 11, 1988
Bear, Stearns & Co.
BC capacity

Jan 19, 1977 → Sep 11, 1979

Source & corrections

Where this page comes from

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