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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

STEVEN JAY SIMES

Advisor at WELLS FARGO ADVISORS

Greenwich, CT | NEW YORK, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 3, 1994 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: Nov 2, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Nov 2, 1992
First registration: Jan 3, 1994
Dual registered: yes, broker-dealer
IAPD individual key: 2134935

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	Dec 14, 2012	n/a	yes	NEW YORK, NY\|Greenwich, CT	Current employment
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Aug 8, 2012	Aug 8, 2012	no	GREAT NECK, NY\|RIVERSIDE, CT\|STAMFORD, CT	Previous registration
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	Jan 27, 2000	Apr 21, 2006	no	STAMFORD, CT	Previous registration
SJS CORPORATION	Former SEC adviser	Jan 3, 1994	Dec 31, 2012	no	RIVERSIDE, CT	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
SJS CORPORATION	CENTAURUS FINANCIAL, INC.	Dec 31, 2012	Jan 27, 2000	-4,722	Firm change after gap	Other
FIRST ALLIED SECURITIES, INC.	WELLS FARGO ADVISORS	Aug 8, 2012	Dec 14, 2012	128	Firm change	Other
CENTAURUS FINANCIAL, INC.	FIRST ALLIED SECURITIES, INC.	Apr 21, 2006	Aug 8, 2012	2,301	Firm change after gap	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Dec 14, 2012 to presentfactForm ADV
→ SJS CORPORATIONRegistered adviserregistration: previous registration
Jan 3, 1994 to Dec 31, 2012factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Aug 8, 2012 to Aug 8, 2012factForm ADV
→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: previous registration
Jan 27, 2000 to Apr 21, 2006factForm ADV

Dated events

No dated event names this entity yet.