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Detailed Report
MICHAEL SCOTT YODER
CRD#: 2510235
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1606 CARMODY CT
STE 401
SEWICKLEY, PA 15143
Registration History
19952000200520102015202020252 FIRMS2006 - 2006 (<1 year)2 FIRMS2006 - 2008 (1 year)2 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - 2014 (2 years)2 FIRMS2014 - Present (10 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2000 - 2006 (5 years)BFIRST TRYON SECURITIES, LLC (CRD# 7336)2000 - 2000 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1995 - 1999 (4 years)IALEGG MASON WOOD WALKER INC (CRD# 6555)2002 - 2006 (4 years)
Disclosure(s)
View By:
11/23/2018
Judgment / Lien
10/29/2018
Judgment / Lien
License(s)

State Registrations

B
Pennsylvania 5/12/2021
IA
Pennsylvania 5/12/2021

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)
1606 CARMODY CT STE 401, SEWICKLEY, PA 15143
Allison Park, PA
Registered with this firm since 6/30/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1606 CARMODY CT STE 401, SEWICKLEY, PA 15143
Allison Park, PA
Registered with this firm since 6/19/2014
Previous Registration(s)
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IA
 09/16/2011 - 04/15/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) BALTIMORE, MD
B
 09/16/2011 - 04/15/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) BALTIMORE, MD
IA
 04/08/2008 - 09/22/2011 CLEARBRIDGE ADVISORS, LLC (CRD#:137028) BALTIMORE, MD
B
 04/08/2008 - 09/22/2011 LEGG MASON INVESTOR SERVICES, LLC (CRD#:109064) BALTIMORE, MD
IA
 07/06/2006 - 04/07/2008 FERRIS, BAKER WATTS INCORPORATED (CRD#:285) BALTIMORE, MD
B
 07/03/2006 - 04/07/2008 FERRIS, BAKER WATTS INCORPORATED (CRD#:285) BALTIMORE, MD
IA
 02/21/2006 - 07/18/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BALTIMORE, MD
B
 02/21/2006 - 07/18/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
 02/27/2002 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) BALTIMORE, MD
B
 09/20/2000 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 07/31/2000 - 09/18/2000 FIRST TRYON SECURITIES, LLC (CRD#:7336) CHARLOTTE, NC
B
 08/10/1995 - 11/03/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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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.