Michael Aaron Rosen

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
FL	RA	APPROVED	2003-07-01
TX	RA	APPROVED_RES	2003-07-01

FL RA
APPROVED

Since 2003-07-01
TX RA
APPROVED_RES

Since 2003-07-01

Branch Locations

4030 W Boy Scout Blvd Ste 150, Tampa, FL 33607 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Tampa	FL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Tampa	FL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Tampa, FL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Tampa, FL

Previous Registrations

2000-09-01 → 2003-07-01

Prudential Equity Group, Llc

Tampa, FL

Other Businesses

VILLA SONOMA HOA; NOT INV RELATED; TAMPA, FL; HOA; TREASURER; START DATE 08/19/2025; 4 HOURS PER MONTH; 0 HOURS PER MONTHS |

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-12-27
S63	Uniform Securities Agent State Law Examination	1994-09-09

S65 Uniform Investment Adviser Law Examination

1994-12-27
S63 Uniform Securities Agent State Law Examination

1994-09-09

Other Names

Michael Rosen

View on SEC IAPD