Michael Eugene Palazzo

Wells Fargo Clearing Services, LLC

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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

Authority	Category	Status	Date
MD	RA	APPROVED	2017-06-05

MD RA
APPROVED

Since 2017-06-05

Branch Locations

7600 Wisconsin Ave Ste 900, Bethesda, MD 20814 • United States

Bethesda, MD • 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

Organization	City	State	From	To
Capital One Investing, Llc	Bethesda	MD	01/2015	06/2017
Capital One Advisors, Llc	Bethesda	MD	01/2015	06/2017
Wells Fargo Clearing Services Llc	Bethesda	MD	05/2017	Present

01/2015 → 06/2017

Capital One Investing, Llc

Bethesda, MD
01/2015 → 06/2017

Capital One Advisors, Llc

Bethesda, MD
05/2017 → Present

Wells Fargo Clearing Services Llc

Bethesda, MD

Previous Registrations

2015-01-28 → 2017-06-08

Capital One Advisors, Llc

Bethesda, MD

Mclean, VA
2014-12-15 → 2015-01-28

Capital One Financial Advisors Llc

Bethesda, MD

Melville, NY
2004-03-05 → 2014-12-22

Ubs Financial Services Inc.

Bethesda, MD

Weehawken, NJ

Rockville, MD

Bethesda, MD

Rockville, MD
1999-07-01 → 2004-03-08

Wells Fargo Clearing Services, Llc

Washington, DC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-06
S63	Uniform Securities Agent State Law Examination	1991-08-01

S65 Uniform Investment Adviser Law Examination

1993-12-06
S63 Uniform Securities Agent State Law Examination

1991-08-01

View on SEC IAPD

Other Firms

BLUE SPARROW FUNDS GP LLC

KALAMATA ASSET MANAGEMENT LLC

GLASSY MOUNTAIN ADVISORS, INC.

NOORDZEE CAPITAL LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

HIGHTOWER ADVISORS, LLC

GOLDEN WEALTH STRATEGIES

Other Investors

Brian Craig Luts

DAVID MICHAEL GREENLEIGH

JAMIE LYNN BIGSBY

Brian Hawthorne-Codato

William K McCaffrey

ALEXANDER SIDNEY JOHANNES LEVY

FREDERICK THOMAS TURNER

Other Offices

LGG FINANCIAL · BETHESDA, MD

BLUE SPARROW FUNDS GP LLC · BETHESDA, MD

KALAMATA ASSET MANAGEMENT LLC · BETHESDA, MD

GLASSY MOUNTAIN ADVISORS, INC. · BETHESDA, MD

NOORDZEE CAPITAL LLC · BETHESDA, MD

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BETHESDA, MD

HIGHTOWER ADVISORS, LLC · BETHESDA, MD

GOLDEN WEALTH STRATEGIES · Bethesda, MD

More in Bethesda, MD

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