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Michael Leonardo Pappa

Wells Fargo Clearing Services, LLC

Westport, CT

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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 2011-11-02
  • TX RA
    APPROVED_RES
    Since 2011-11-02

Branch Locations

450 Post Road E, Westport, CT 06880 • 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 Sales Associate CT 04/2011 11/2016
Wells Fargo Clearing Services, Llc Sales Associate CT 11/2016 04/2018
Janney Montgomery Scott Llc Fairfield CT 04/2018 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-06-11
  • S63 Uniform Securities Agent State Law Examination
    1998-06-11

View on SEC IAPD

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QUORUS INC. · WESTPORT, CT
DIVYDE CAPITAL PARTNERS L.P. · WESTPORT, CT
MORGAN STANLEY · Westport, CT
EQUITABLE ADVISORS, LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
PARK AVENUE SECURITIES LLC · WESTPORT, CT

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