Michael Warren Neff

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2015-10-28
TX	RA	APPROVED	2015-10-22

FL RA
APPROVED

Since 2015-10-28
TX RA
APPROVED

Since 2015-10-22

Branch Locations

4030 W Boy Scout Blvd Ste 150, Tampa, FL 33607 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Tampa	FL	10/2015	Present

10/2015 → Present

Wells Fargo Advisors, Llc

Tampa, FL

Previous Registrations

2009-10-09 → 2015-11-12

Rbc Capital Markets, Llc

Tampa, FL
2003-06-18 → 2009-10-09

J. B. Hanauer & Co.

Tampa, FL

Tampa, FL

Other Businesses

DOWNTOWN DOGS, LLC; NOT INVESTMENT RELATED; NOT INV RELATED, TAMPA, FL; 15% OWNER, RETAIL PET ACCESSORY BOUTIQUE; MANAGING MEMBER; 11/22/2004, DUTIES: ASSIST WITH STRATEGIC DECISIONS. HUMANE SOCIETY OF TAMPA BAY; NOT INV. RELATED; TAMPA, FL; FINANCE COMMITTEE MEMBER; ENDING ANIMAL HOMELESSNESS; START DATE 1/2024; 3 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS, REVIEW THE BUDGET AND FINANCIAL STATEMENTS OF THE ORGANIZATION AS PREPARED AND PRESENTED BY THE CFO AND CPA.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-05-07
S63	Uniform Securities Agent State Law Examination	1998-09-03

S65 Uniform Investment Adviser Law Examination

2002-05-07
S63 Uniform Securities Agent State Law Examination

1998-09-03

Other Names

Mike Neff

View on SEC IAPD