Michael Steven Moen

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
CT	RA	APPROVED	2018-11-29
FL	RA	APPROVED	2012-09-19
IA	RA	APPROVED	2002-06-04

CT RA
APPROVED

Since 2018-11-29
FL RA
APPROVED

Since 2012-09-19
IA RA
APPROVED

Since 2002-06-04

Branch Locations

Sanibel, FL • United States

6400 Westown Pkwy Ste 115, West Des Moines, IA 50266 • United States

Disclosures

2 disclosure categories 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 Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Des Moines	IA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Des Moines	IA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Des Moines, IA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Des Moines, IA

Other Businesses

MOEN GROUP, INV RELATED, IOWA CITY, IA, REAL ESTATE DEVELOPMENT, 50% OWNERSHIP; NO TIME INVOLVED, START DATE 1985. COMMERCIAL RENTAL PROPERTY, INVT RELATED, IOWA CITY, IA, 50% OWNERSHIP, START DATE 2/5/2003, 0 HRS PER MONTH, 0 HRS DURING TRADING, INVESTOR. COMMERCIAL RENTAL PROPERTY, INVT RELATED, IOWA CITY, IA, 50% OWNERSHIP, START DATE 8/12/2002, 0 HRS PER MONTH, 0 HRS DURING TRADING, INVESTOR.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-04-23
S65	Uniform Investment Adviser Law Examination	1996-05-30
S63	Uniform Securities Agent State Law Examination	1979-10-20

S66 Uniform Combined State Law Examination

2002-04-23
S65 Uniform Investment Adviser Law Examination

1996-05-30
S63 Uniform Securities Agent State Law Examination

1979-10-20