PAULA ANDREA ALVIS

PAULA ANDREA ALVIS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 333 S.E. 2ND AVE 23RD FL, [RBO], MIAMI, FL, 33131.

PAULA ANDREA ALVIS has worked at WELLS FARGO CLEARING SERVICES, LLC since August 24, 2016

Disclosure History

PAULA ANDREA ALVIS has 3 Disclosure Event(s).

Date: August 11, 2017
Category: Criminal
Charges: PETIT THEFT
Disposition: Pled not guilty
Broker Comment: This was a misunderstanding that occurred at Whole Foods and it escalated out of proportion; the case was discharged without any penalties or fines imposed by the judge on 12/07/2017.

Date: November 18, 2016
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: August 01, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

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 PAULA ANDREA ALVIS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.