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Steven Sharp: Did Wells Fargo Advisor Make Unauthorized Transfer?

Jackson, Mississippi financial advisor Steven Sharp (CRD# 3178563) recently received an investor complaint alleging that he made an unauthorized transfer. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.

Mr. Sharp’s BrokerCheck report discloses two investor complaints. The most recent, filed in April 2024, alleges that as a representative of Wells Fargo Advisors, he transferred funds away from the customer’s account without their “consent or awareness.” The pending complaint alleges unspecified damages.

An earlier investor complaint, filed in 2012, alleged that as a representative of Wells Fargo Advisors, he did not disclose information in connection with a variable annuity investment. The complaint alleged damages of $14,000 and was denied.

Wells Fargo’s website includes a profile of Mr. Sharp in which he describes his background and services. “As a Financial Advisor with Wells Fargo Advisors, I can deliver a full range of investment planning strategies tailored to your unique needs,” it states. “Whether you are investing for retirement, education expenses or some other goal, I will help you make informed decisions about your investment strategy.”

According to the Financial Industry Regulatory Authority, Steven Sharp holds 25 years of securities industry experience. Based in Jackson, Mississippi, he has been registered as a broker and an investment advisor with Wells Fargo since 2003. He was previously registered with Prudential Securities in Jackson, Mississippi from 1999 until 2003. His 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. He holds 25 state licenses. (Information current as of June 9, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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