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Michael William Sowers

Wells Fargo Clearing Services, LLC

Hickory, NC

Davidson, NC

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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 2014-03-14
NC RA APPROVED 2002-06-21
  • TX RA
    APPROVED_RES
    Since 2014-03-14
  • NC RA
    APPROVED
    Since 2002-06-21

Branch Locations

1377 N Center St, Hickory, NC 28601 • United States

130 Harbour Pl Dr Ste 200, Davidson, NC 28036 • 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 Hickory NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hickory NC 11/2016 Present
Previous Registrations
  • 2002-01-28 → 2002-06-21
    Wachovia Securities, Inc.
    Hickory, NC
Other Businesses

COLLARD GREENS HOLDINGS LLC, INV RELATED, HICKORY, NC, 25% OWNER, START: 6/2017, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: RENTAL.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-10-13
S63 Uniform Securities Agent State Law Examination 1993-02-16
  • S65 Uniform Investment Adviser Law Examination
    1993-10-13
  • S63 Uniform Securities Agent State Law Examination
    1993-02-16

View on SEC IAPD

Other Firms

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ALPHASTAR CAPITAL MANAGEMENT
SOLLINDA CAPITAL MANAGEMENT LLC
CETERA INVESTMENT ADVISERS LLC
RBC CAPITAL MARKETS, LLC
BENJAMIN F. EDWARDS & COMPANY, INC.
TRUIST ADVISORY SERVICES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

RANDALL WAYNE RICE
MARK ANDREW DAVEY
SUSAN WRIGHT SINGLETON
Mitchell Ausden Sayers
Matthew Riley Whitt
DAVID ERIC VAN HORN
RYAN ANTHONY MUMY
ANDREW ELISHA RADER

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · HICKORY, NC
ALPHASTAR CAPITAL MANAGEMENT · Hickory, NC
SOLLINDA CAPITAL MANAGEMENT LLC · Hickory, NC
CETERA INVESTMENT ADVISERS LLC · HICKORY, NC
ALPHASTAR CAPITAL MANAGEMENT · Hickory, NC
RBC CAPITAL MARKETS, LLC · HICKORY, NC
BENJAMIN F. EDWARDS & COMPANY, INC. · Hickory, NC
TRUIST ADVISORY SERVICES, INC. · HICKORY, NC

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