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Detailed Report
MICHAEL DALE FARISH
MICHAEL D FARISH, MIKE FARISH
CRD#: 2024940
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2050 CORPORATE CENTRE DR STE 120
MYRTLE BEACH, SC 29577
Registration History
199019952000200520102015202020252 FIRMS2005 - 2011 (5 years)2 FIRMS2011 - 2013 (1 year)2 FIRMS2013 - 2021 (8 years)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2005 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1997 (4 years)BEDWARD D. JONES & CO., L.P. (CRD# 250)1990 - 1992 (2 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2005 (7 years)
License(s)

State Registrations

B
Alabama 6/6/2022
B
New Jersey 4/9/2024
B
Arizona 6/6/2022
B
New Mexico 2/12/2025
B
California 6/6/2022
B
New York 6/6/2022
B
Colorado 6/6/2022
IA
New York 6/6/2022
B
Connecticut 6/6/2022
B
North Carolina 6/6/2022
B
Florida 6/6/2022
B
Ohio 6/6/2022
B
Georgia 6/6/2022
B
Pennsylvania 6/6/2022
B
Indiana 6/6/2022
B
South Carolina 6/6/2022
B
Iowa 6/6/2022
IA
South Carolina 6/6/2022
B
Kentucky 6/6/2022
B
Tennessee 6/6/2022
B
Maryland 6/6/2022
B
Texas 6/6/2022
B
Massachusetts 6/6/2022
IA
Texas 6/6/2022
B
Michigan 4/5/2024
B
Utah 6/6/2022
B
Minnesota 8/19/2024
B
Vermont 6/6/2022
B
Missouri 10/31/2024
B
Virginia 6/22/2022
B
Montana 6/6/2022
B
Washington 6/6/2022
B
New Hampshire 6/6/2022
B
West Virginia 6/6/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2050 CORPORATE CENTRE DR STE 120, MYRTLE BEACH, SC 29577
Registered with this firm since 6/6/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2050 CORPORATE CENTRE DR STE 120, MYRTLE BEACH, SC 29577
Registered with this firm since 6/6/2022
Previous Registration(s)
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IA
 02/17/2021 - 06/06/2022 TRUIST ADVISORY SERVICES, INC. (CRD#:283390) MYRTLE BEACH, SC
B
 02/17/2021 - 06/06/2022 TRUIST INVESTMENT SERVICES, INC. (CRD#:17499) MYRTLE BEACH, SC
IA
 01/02/2013 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) RICHMOND, VA
B
 01/02/2013 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) RICHMOND, VA
IA
 09/14/2011 - 01/02/2013 SCOTT & STRINGFELLOW, LLC (CRD#:6255) MYRTLE BEACH, SC
B
 09/12/2011 - 01/02/2013 SCOTT & STRINGFELLOW, LLC (CRD#:6255) MYRTLE BEACH, SC
IA
 10/31/2005 - 09/13/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) MYRTLE BEACH, SC
B
 10/31/2005 - 09/13/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) MYRTLE BEACH, SC
IA
 04/08/1998 - 11/15/2005 MORGAN STANLEY (CRD#:7556) MYRTLE BEACH, SC
B
 02/18/1997 - 11/15/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 05/13/1992 - 02/21/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 01/24/1990 - 05/19/1992 EDWARD D. JONES & CO., L.P. (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.