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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

STEVEN DAVID FERRIS

Advisor at WELLS FARGO ADVISORS

THE VILLAGES, FL | APPLETON, WI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 29, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 13, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Feb 13, 1998
First registration: Jun 29, 2000
Dual registered: yes, broker-dealer
Other names: STEVE FERRIS
IAPD individual key: 2861293

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Nov 17, 2015	n/a	yes	APPLETON, WI\|THE VILLAGES, FL	Current employment
MORGAN STANLEY	Wirehouse	Oct 27, 2011	Dec 3, 2015	no	APPLETON, WI	Previous registration
BFN ASSET MANAGEMENT, INC.	n/a	Oct 2, 2008	Nov 30, 2011	no	TWO RIVERS, WI	Previous registration
PRIMEROCK ASSET MANAGEMENT, LLC	n/a	Feb 8, 2008	Mar 7, 2008	no	CENTERVILLE, OH	Previous registration
M&I INVESTMENT MANAGEMENT CORP.	Former SEC adviser	Nov 2, 2006	Jan 10, 2008	no	MILWAUKEE, WI	Previous registration
CLIFTON GUNDERSON WEALTH ADVISORS	Former SEC adviser	Feb 7, 2006	Sep 15, 2006	no	PHOENIX, AZ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 29, 2000	Feb 1, 2006	no	APPLETON, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	WELLS FARGO ADVISORS	Dec 3, 2015	Nov 17, 2015	-16	Firm change	Wirehouse to wirehouse
BFN ASSET MANAGEMENT, INC.	MORGAN STANLEY	Nov 30, 2011	Oct 27, 2011	-34	Firm change after gap	Other
PRIMEROCK ASSET MANAGEMENT, LLC	BFN ASSET MANAGEMENT, INC.	Mar 7, 2008	Oct 2, 2008	209	Firm change	Other
M&I INVESTMENT MANAGEMENT CORP.	PRIMEROCK ASSET MANAGEMENT, LLC	Jan 10, 2008	Feb 8, 2008	29	Firm change	Other
CLIFTON GUNDERSON WEALTH ADVISORS	M&I INVESTMENT MANAGEMENT CORP.	Sep 15, 2006	Nov 2, 2006	48	Firm change	Other
WELLS FARGO ADVISORS	CLIFTON GUNDERSON WEALTH ADVISORS	Feb 1, 2006	Feb 7, 2006	6	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 29, 2000 to Feb 1, 2006factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 27, 2011 to Dec 3, 2015factForm ADV
→ BFN ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 2, 2008 to Nov 30, 2011factForm ADV
→ PRIMEROCK ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 8, 2008 to Mar 7, 2008factForm ADV
→ M&I INVESTMENT MANAGEMENT CORP.Registered adviserregistration: previous registration
Nov 2, 2006 to Jan 10, 2008factForm ADV
→ CLIFTON GUNDERSON WEALTH ADVISORSRegistered adviserregistration: previous registration
Feb 7, 2006 to Sep 15, 2006factForm ADV

Dated events

No dated event names this entity yet.