Michael David Van Horn

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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_RES	2017-03-16
AZ	RA	APPROVED	2011-01-03

TX RA
APPROVED_RES

Since 2017-03-16
AZ RA
APPROVED

Since 2011-01-03

Branch Locations

8601 N Scottsdale Rd Ste 100 [Va-Rbo], Scottsdale, AZ 85253 • United States

9928 W Bell Rd Ste 100, Sun City, AZ 85351 • United States

Surprise, AZ • 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 Bank	Goodyear	AZ	09/2007	Present
Wells Fargo Advisors Llc	Sun City	AZ	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Sun City	AZ	11/2016	Present

09/2007 → Present

Wells Fargo Bank

Goodyear, AZ
01/2011 → 11/2016

Wells Fargo Advisors Llc

Sun City, AZ
11/2016 → Present

Wells Fargo Clearing Services, Llc

Sun City, AZ

Previous Registrations

2007-12-13 → 2011-01-03

Wells Fargo Investments, Llc

Sun City, AZ

Goodyear, AZ
2007-02-02 → 2007-09-06

Chase Investment Services Corp.

Goodyear, AZ
2006-09-29 → 2007-01-08

Wells Fargo Investments, Llc

Phoenix, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-09-28

S66 Uniform Combined State Law Examination

2006-09-28

View on SEC IAPD