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Michael Fitzgerald Lupton

Wells Fargo Clearing Services, LLC

Short Hills, NJ

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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 2019-11-24
NJ RA APPROVED 2009-04-13
  • TX RA
    APPROVED_RES
    Since 2019-11-24
  • NJ RA
    APPROVED
    Since 2009-04-13

Branch Locations

51 John F Kennedy Pkwy 5Th Fl Office Center At Short Hills, Short Hills, NJ 07078 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Morristown NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Morristown NJ 11/2016 Present
Previous Registrations
  • 2009-01-21 → 2009-02-25
    Barclays Capital Inc.
    New York, NY
  • 2008-03-17 → 2008-10-15
    Lehman Brothers Inc.
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-14
S63 Uniform Securities Agent State Law Examination 1997-02-13
  • S66 Uniform Combined State Law Examination
    2008-03-14
  • S63 Uniform Securities Agent State Law Examination
    1997-02-13

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · SHORT HILLS, NJ
RIDGEWOOD INVESTMENTS · SPRINGFIELD, NJ
J.P. MORGAN SECURITIES LLC · SHORT HILLS, NJ
DORCHESTER ADVISORS LLC · SHORT HILLS, NJ
ESTEE ADVISORS LLC · SHORT HILLS, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SHORT HILLS, NJ
UNITED SUCCESS WEALTH MANAGEMENT · SHORT HILLS, NJ
TRANSAMERICA FINANCIAL ADVISORS, LLC · SHORT HILLS, NJ

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