Individual Firm
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MICHAEL CLAUDE MARSHALL
MICHAEL C MARSHALL, MICHAEL MARSHALL, MIKE C MARSHALL, MIKE MARSHALL
CRD#: 2837574
IA
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WELLS FARGO ADVISORSCRD#: 19616 3201 SW COLLEGE RD
OCALA, FL 34474
OCALA, FL 34474
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3/27/2012
Regulatory
Final
State Registrations
B
Arizona 10/17/2023
B
Minnesota 4/28/2021
B
California 12/15/2023
B
Mississippi 6/19/2024
B
Colorado 4/2/2024
B
Missouri 10/22/2024
B
Connecticut 11/8/2023
B
New Jersey 6/10/2020
B
Florida 12/12/2019
B
New York 6/16/2020
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Florida 12/23/2019
B
North Carolina 2/18/2021
B
Georgia 2/3/2020
B
Pennsylvania 4/20/2020
B
Illinois 1/24/2025
B
South Carolina 11/16/2020
B
Iowa 9/25/2023
B
Tennessee 12/12/2019
B
Kansas 8/5/2024
B
Texas 4/28/2021
B
Maine 6/10/2020
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Texas 4/28/2021
B
Maryland 4/28/2021
B
Virginia 12/12/2019
B
Massachusetts 11/8/2021
B
Wisconsin 10/29/2024
B
Michigan 8/31/2022
SRO Registrations
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B
B
B
B
B
B
B
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B
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 12/23/2019
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Registered with this firm since 12/12/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/29/2017 - 12/13/2019 | Ocala, FL | |
B | 06/08/2017 - 12/13/2019 | OCALA, FL | |
IA | 01/24/2014 - 06/12/2017 | Orlando, FL | |
B | 01/06/2014 - 06/12/2017 | Orlando, FL | |
IA | 07/08/2011 - 01/07/2014 | ORLANDO, FL | |
B | 03/30/2011 - 01/07/2014 | ORLANDO, FL | |
IA | 12/12/2008 - 11/17/2010 | ORLANDO, FL | |
B | 08/28/2007 - 11/17/2010 | ORLANDO, FL | |
B | 03/07/1997 - 01/22/1998 | EDISON, 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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.