ANTHONY JOHN BAVEDAS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 450 POST ROAD E, WESTPORT, CT, 06880.
ANTHONY JOHN BAVEDAS has worked at WELLS FARGO CLEARING SERVICES, LLC since May 17, 2013
Disclosure History
ANTHONY JOHN BAVEDAS has 1 Disclosure Event(s).
Date: February 06, 1995 Category: Employment Separation After Allegations Firm Name: PRUDENTIAL SECURITIES INCORPORATED Termination Type: Voluntary Resignation Allegations: N/AFA WAS SUSPENDED BY FIRM ON 2/6/95 FORACTIVITY RELATING TO AN UNAPPROVED OUTSIDE BUSINESSAFFILIATION. FA WAS ENGAGED IN ESTABLISHING AND ATTEMPTING TOREGISTER HIS OWN "BROKER/DEALER" WITHOUT PSI KNOWLEDGE ORAPPROVAL. SHORTLY AFTER HIS SUSPENSION, FA VOLUNTARILYRESIGNED. Broker Comment: CASE WAS DROPPED AND CLOSEDWHILE EMPLOYED AT PRUDENTIAL SECURITIES, I TOOKSERIES 24, 27 AND 53. I WAS CONSIDERING THE POSSIBILITY OFSTARTING MY OWN BROKER/DEALER AND INVESTMENT ADVISORY FIRM.WHEN PRUDENTIAL WAS ALERTED THAT I HAD TAKEN AND PASSED THESEEXAMS THEY PROCEEDED TO SUSPEND ME IN THE PRESENCE OF TWOPRUDENTIAL ATTORNEYS AND TWO OTHER "ENFORCER TYPE" GENTLEMEN.THEY SEIZED ALL OF MY BUSINESS AND PERSONAL POSSESSIONS, SOMEOF WHICH STILL HAVE NOT BEEN RETURNED. TWO HOURS LATER I FAXEDMY RESIGNATION TO THEM.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ANTHONY JOHN BAVEDAS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.