Brianna Becay Resigns from Wells Fargo Clearing Services

Brianna Becay (CRD #: 6551241), a broker formerly registered with Wells Fargo Clearing Services, resigned from that firm following allegations of misconduct, according to her BrokerCheck record, accessed on April 12, 2023. Read on to learn more about her alleged conduct as a broker.

Resignation from Wells Fargo Clearing Services

On February 17, 2023, Brianna Becay resigned from Wells Fargo Clearing Services following allegations that, as a bank employee, she failed to disclose the following information:

• She and her husband opened an outside business in January 2023
• They were in negotiations to purchase a firm client’s business
• She solicited other firm clients for that client’s business

Further, Wells Fargo alleged that Brianna Becay used her bank email and printer for the benefit of these businesses and accessed client’s profiles without a bank-related business need.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to disclose any business activities they engage in outside their firm, as well as any compensation they may receive from these activities.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Other Business Activities

Brianna Becay’s detailed Brokercheck report currently lists one outside business activity: she co-owns The Well House Arvada, an assisted living facility, with her husband.

Background Information

Brianna Becay has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

She previously worked for Wells Fargo Clearing Services (CRD#:19616).

Kurta Law Can Help

If you worked with Brianna Becay and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.