DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

HARRY SCOTT NEUFELD

Advisor at WELLS FARGO ADVISORS

RANDOLPH, NJ | FLORHAM PARK, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e8d9e2bb-8315-613c-20e2-4d4ef3ac584d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 10, 2002 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: Apr 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 1, 1991
First registration: May 10, 2002
Dual registered: yes, broker-dealer
Other names: H. SCOTT NEUFELD|H. SCOTT NEUFELD|SCOTT NEUFELD
IAPD individual key: 2119338

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	Mar 28, 2013	n/a	yes	FLORHAM PARK, NJ\|RANDOLPH, NJ	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Oct 9, 2009	Apr 15, 2013	no	PARSIPPANY, NJ	Previous registration
J. B. HANAUER & CO.	n/a	Jun 24, 2003	Oct 9, 2009	no	PARSIPPANY, NJ\|PARSIPPANY, NJ	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	May 10, 2002	Sep 10, 2002	no	FLORHAM PARK, NJ	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
RBC CAPITAL MARKETS, LLC	WELLS FARGO ADVISORS	Apr 15, 2013	Mar 28, 2013	-18	Firm change	Ibd to wirehouse
J. B. HANAUER & CO.	RBC CAPITAL MARKETS, LLC	Oct 9, 2009	Oct 9, 2009	0	Bulk transfer	Other
RBC CAPITAL MARKETS, LLC	J. B. HANAUER & CO.	Sep 10, 2002	Jun 24, 2003	287	Firm change	Other

Relationships

Registered with (3)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Mar 28, 2013 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Oct 9, 2009 to Apr 15, 2013factForm ADV
→ J. B. HANAUER & CO.Registered adviserregistration: previous registration
Jun 24, 2003 to Oct 9, 2009factForm ADV

Dated events

No dated event names this entity yet.