Best Investors Account Sign in

Michelle Lynn Harris

Wells Fargo Clearing Services, LLC

Dubuque, IA

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-11-04
IA RA APPROVED 2011-10-24
IL RA APPROVED 2010-12-15
  • TX RA
    APPROVED_RES
    Since 2011-11-04
  • IA RA
    APPROVED
    Since 2011-10-24
  • IL RA
    APPROVED
    Since 2010-12-15

Branch Locations

2100 Asbury Ste 1, Dubuque, IA 52001 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Dubuque IA 12/2010 11/2016
Wells Fargo Clearing Services, Llc Dubuque IA 11/2016 Present
Previous Registrations
  • 2009-11-13 → 2010-10-04
    Pnc Wealth Management Llc
    Peoria, IL
    Peoria, IL
    Peoria, IL
    Metamora, IL
    Washington, IL
    Peoria, IL
  • 2005-10-04 → 2009-11-13
    Natcity Investments, Inc.
    Morton, IL
    Washington, IL
    Jacksonville, IL
    Dekalb, IL
    Peoria, IL
    Peoria, IL
    Pekin, IL
    Moline, IL
    Rock Island, IL
    Metamora, IL
    Rock Island, IL
    Morton, IL
    Rock Island, IL
    Peoria, IL
    Frontenac, MO
  • 2005-03-22 → 2005-09-19
    U.S. Bancorp Investments, Inc.
    Rock Island, IL
Other Businesses

GALENA ARTS AND RECREATION CENTER, NOT INVT RELATED, GALENA, IL, GROUP FITNESS CLASS INSTRUCTOR, START DATE 9/3/2024, 8 HRS PER MONTH, 0 HRS DURING TRADING. FITNESS INSTRUCTOR.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-03-21
S63 Uniform Securities Agent State Law Examination 1992-11-23
  • S65 Uniform Investment Adviser Law Examination
    2005-03-21
  • S63 Uniform Securities Agent State Law Examination
    1992-11-23
Other Names
  • Michelle L Montgomery
  • Michelle Lynn Montgomery
  • Michelle Lynn Bequeaith
  • Michelle Lynn Montgomery

View on SEC IAPD

Other Firms

NATIONS FINANCIAL GROUP, INC.
AVANTAX PLANNING PARTNERS, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
ROSEMEYER MANAGEMENT GROUP
RICHMOND INVESTMENT SERVICES LLC
LPL FINANCIAL LLC
UMB PRIVATE WEALTH MANAGEMENT, LLC
MARINER INDEPENDENT

Other Investors

CHAD JOSEPH KRUSE
ROBERT EMMETT LEE
SAWYER MARQUARDT
KEVIN MICHAEL DIETZEL
WYATT KELLY
JOSEPH CONSTANTINE BERNARDI
Terry B Brown
Michael R Ziembo

Other Offices

NATIONS FINANCIAL GROUP, INC. · Dubuque, IA
AVANTAX PLANNING PARTNERS, INC. · DUBUQUE, IA
STATE FARM INVESTMENT MANAGEMENT CORP. · Dubuque, IA
ROSEMEYER MANAGEMENT GROUP · Dubuque, IA
RICHMOND INVESTMENT SERVICES LLC · Dubuque, IA
LPL FINANCIAL LLC · DUBUQUE, IA
UMB PRIVATE WEALTH MANAGEMENT, LLC · Dubuque, IA
MARINER INDEPENDENT · Dubuque, IA

More in Dubuque, IA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor