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Michael David Neal

Morgan Stanley

Atlanta, GA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-09-17
GA RA APPROVED 2020-08-24
  • TX RA
    APPROVED_RES
    Since 2020-09-17
  • GA RA
    APPROVED
    Since 2020-08-24

Branch Locations

3280 Peachtree Road Northeast, Suite 2000 Pwm, Atlanta, GA 30305 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 02/2020
Morgan Stanley Atlanta GA 07/2020 Present
Unemployed Atlanta GA 02/2020 07/2020
Previous Registrations
  • 2019-06-03 → 2020-03-10
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
    St. Louis, MO
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Richmond, VA
    St. Louis, MO
    Atlanta, GA
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-24
S65 Uniform Investment Adviser Law Examination 2000-08-21
S63 Uniform Securities Agent State Law Examination 1996-10-24
  • S66 Uniform Combined State Law Examination
    2019-05-24
  • S65 Uniform Investment Adviser Law Examination
    2000-08-21
  • S63 Uniform Securities Agent State Law Examination
    1996-10-24
Other Names
  • Mike Neal

View on SEC IAPD

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