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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

JOSEPH PLATON ABAD

Advisor at WELLS FARGO ADVISORS

PALO ALTO, CA | MENLO PARK, CA

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Search this name across graphsid dfx:ria:60be7c78-8d68-a203-7e50-caabfbd46a8e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2001 to Sep 15, 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: Aug 17, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 17, 2001
First registration: Nov 6, 2001
Dual registered: yes, broker-dealer
Other names: JON PLATON ABAD
IAPD individual key: 4412305

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	Jan 3, 2011	n/a	yes	MENLO PARK, CA\|PALO ALTO, CA	Current employment
WELLS FARGO INVESTMENTS, LLC	n/a	Jan 5, 2006	Jan 3, 2011	no	MENLO PARK, CA\|MENLO PARK, CA\|MENLO PARK, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Jun 9, 2003	Jan 12, 2006	no	SAN MATEO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 6, 2001	Jun 27, 2003	no	SAN MATEO, CA	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
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
CITICORP INVESTMENT SERVICES	WELLS FARGO INVESTMENTS, LLC	Jan 12, 2006	Jan 5, 2006	-7	Firm change	Other
UBS FINANCIAL SERVICES INC.	CITICORP INVESTMENT SERVICES	Jun 27, 2003	Jun 9, 2003	-18	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jan 3, 2011 to presentfactForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jan 5, 2006 to Jan 3, 2011factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Jun 9, 2003 to Jan 12, 2006factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 6, 2001 to Jun 27, 2003factForm ADV

Dated events

No dated event names this entity yet.