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MICHEL GAETANA MAGGIO
MICHEL GAETANA MAGGIO JR, MIKE MAGGIO JR, MIKE MAGGIO
CRD#: 2313588
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 153 N MAIN ST
MOORESVILLE, NC 28115
Registration History
19952000200520102015202020252 FIRMS1993 - 1994 (<1 year)2 FIRMS2006 - 2013 (6 years)2 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - Present (9 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2001 - 2006 (5 years)BEDWARD JONES (CRD# 250)2000 - 2001 (1 year)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1994 - 1999 (5 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2004 - 2006 (2 years)
Disclosure(s)
View By:
10/1/2009
Customer Dispute
Denied
8/6/2009
Customer Dispute
Denied
9/26/2006
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 7/7/2020

IA
North Carolina 11/5/2015

B
Florida 11/5/2015

B
Pennsylvania 11/5/2015

B
Georgia 11/5/2015

B
South Carolina 11/13/2015

B
Illinois 11/5/2015

B
Texas 11/5/2015

B
Maryland 3/7/2023

IA
Texas 11/17/2015

B
New York 11/5/2015

B
Virginia 11/5/2015

B
North Carolina 11/5/2015

B
West Virginia 11/5/2015

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American 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)
153 N MAIN ST, MOORESVILLE, NC 28115
MOORESVILLE, NC
Registered with this firm since 11/5/2015

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
153 N MAIN ST, MOORESVILLE, NC 28115
MOORESVILLE, NC
Registered with this firm since 11/5/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/13/2013 - 11/12/2015 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) HUNTERSVILLE, NC
B
02/13/2013 - 11/12/2015 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) HUNTERSVILLE, NC
IA
11/17/2006 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) HUNTERSVILLE, NC
B
11/17/2006 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) HUNTERSVILLE, NC
IA
02/05/2004 - 11/20/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) CORNELIUS, NC
B
09/27/2001 - 11/20/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) CORNELIUS, NC
B
05/01/2000 - 09/26/2001 EDWARD JONES (CRD#:250) ST. LOUIS, MO
B
01/07/1994 - 09/14/1999 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
02/22/1993 - 01/11/1994 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
02/22/1993 - 01/11/1994 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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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.