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James Lawrence Michel

Wells Fargo Clearing Services, LLC

Oak Brook, IL

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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 2021-08-23
IL RA APPROVED 2003-06-06
  • TX RA
    APPROVED
    Since 2021-08-23
  • IL RA
    APPROVED
    Since 2003-06-06

Branch Locations

1515 W 22Nd St Ste 700, Oak Brook, IL 60523 • 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 Oak Brook IL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Oak Brook IL 11/2016 Present
Other Businesses

TRUSTEE FOR PARENTS; INV. RELATED; GLEN ELLYN, IL; START DATE 3/1/2007; 1 HR PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-14
S63 Uniform Securities Agent State Law Examination 1993-09-24
  • S65 Uniform Investment Adviser Law Examination
    1999-10-14
  • S63 Uniform Securities Agent State Law Examination
    1993-09-24
Designations
Other Names
  • James L Michael

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
WEALTHQUEST CORPORATION
ERGAWEALTH ADVISORS, INC.
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
GEIGER WEALTH MANAGEMENT

Other Investors

TODD BRENDAN SCHROEDER
MICHAEL CHRISTOPHER LEE
DANIEL P SCHIPITSCH
ALAN P MADEJ
Anthony Joesph Bittman
Joseph Herr
Lauren A Mlady
Danieh Kasar

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL
LPL FINANCIAL LLC · OAK BROOK, IL

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