Carter Michael Neal

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
TX	RA	APPROVED	2015-03-03
VA	RA	APPROVED	2015-01-06

TX RA
APPROVED

Since 2015-03-03
VA RA
APPROVED

Since 2015-01-06

Branch Locations

1021 E Cary St [V2/V9-Rbo], Richmond, VA 23219 • 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
Wells Fargo Advisors, Llc	Richmond	VA	01/2015	11/2016
Wells Fargo Clearing Services, Llc	Richmond	VA	11/2016	Present

01/2015 → 11/2016

Wells Fargo Advisors, Llc

Richmond, VA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Richmond, VA

Previous Registrations

2014-10-02 → 2015-01-02

Securian Financial Services, Inc.

Midlothian, VA

Other Businesses

TALENTS LLC -; INV RELATED;GLEN ALLEN,VA; 1099 INCOME RECIPIENT;100% OWNERSHIP; START DATE: 08/13/2026; 200 HRS PER MONTH; 0 HRS DURING TRADING; DISCOVERY WEALTH MANAGEMENT GROUP LLC ; INV RELATED;GLEN ALLEN,VA; CUSTODIAL SERVICES;33.34% OWNERSHIP; START DATE: 08/13/2026; 200 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-09-13

S66 Uniform Combined State Law Examination

2014-09-13

Designations

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Designations

Other Firms

Other Investors

Other Offices

Reviews