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Michael A Vega

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Clearwater, FL

Tampa, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-30
FL RA APPROVED 2020-08-12
  • TX RA
    APPROVED_RES
    Since 2024-04-30
  • FL RA
    APPROVED
    Since 2020-08-12

Branch Locations

6000 Fairview Rd, Charlotte, NC 28210 • United States

601 Cleveland St, Clearwater, FL 33755 • United States

Tampa, FL • 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 Field Rep FL 10/2006 11/2016
Wells Fargo Clearing Services, Llc Field Rep FL 11/2016 04/2019
Edward Jones St. Louis MO 09/2019 04/2020
Unemployed Tampa FL 05/2019 08/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sarasota FL 06/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-06-29
S63 Uniform Securities Agent State Law Examination 2000-04-26
  • S65 Uniform Investment Adviser Law Examination
    2016-06-29
  • S63 Uniform Securities Agent State Law Examination
    2000-04-26
Other Names
  • Mike Vega
  • Michael Anthony Vega
  • Michael A Vega

View on SEC IAPD

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MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
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ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
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