Michael Joseph Allan

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
CA	RA	APPROVED	2009-03-05

CA RA
APPROVED

Since 2009-03-05

Branch Locations

3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • 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 Yes
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	Westlake Village	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Westlake Village	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Westlake Village, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Westlake Village, CA

Previous Registrations

1997-07-08 → 2009-03-19

Citigroup Global Markets Inc.

Beverly Hills, CA

Beverly Hills, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-06-11

S63 Uniform Securities Agent State Law Examination

1987-06-11

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

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