Anne Debowes: $431K Complaint Against Wells Fargo Advisor

A pending investor complaint against New Haven financial advisor Anne Debowes (CRD# 2157405) alleges more than $400,000 in damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Wells Fargo Clearing Services.

Ms. Debowes’ BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that as a representative of Wells Fargo Advisors, she mismanaged the customer’s account “by not monitoring it closely until assets were converted to cash.” The pending complaint alleges damages of $431,062.80.

According to the Financial Industry Regulatory Authority, Anne Debowes holds 22 years of securities industry experience. Based in New Haven, Connecticut, she has been a broker and an investment advisor with Wells Fargo Clearing Services since 2011. Her past registrations include Chase Investment Services Corporation (Shelton, Connecticut; 2007-2011), JP Morgan Securities (Shelton, Connecticut; 2006-2007); Chase Investment Services (Shelton, Connecticut; 2001-2006), JP Morgan (New York, New York; 2001), and Prudential Securities Incorporated (1991-1992). Her credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed in Arizona, California, Colorado, Connecticut, Florida, Georgia, Massachusetts, Minnesota, Missouri, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Tennessee, Texas, Vermont, and Wisconsin. Her self-regulatory organization (SRO) registrations include FINRA, the Nasdaq Stock Market, and the New York Stock Exchange. (Information current as of September 28, 2022.)

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