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Michael Joseph Marino

Wells Fargo Clearing Services, LLC

New York, NY

CRD 4176682

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2016-03-21
TX RA APPROVED 2016-03-17
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2016-03-21
  • TX RA
    APPROVED
    Since 2016-03-17

Branch Locations

535 Madison Ave 16Th Fl, New York, NY 10022 • 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 New York NY 03/2016 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
Previous Registrations
  • 2008-04-28 → 2016-04-08
    Credit Suisse Securities (Usa) Llc
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-25
S63 Uniform Securities Agent State Law Examination 2004-03-12
  • S65 Uniform Investment Adviser Law Examination
    2008-04-25
  • S63 Uniform Securities Agent State Law Examination
    2004-03-12

View on SEC IAPD

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