Individual Firm
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MICHAEL ROBERT PAPA
MICHAEL R PAPA
CRD#: 2911437
IA
B
WELLS FARGO ADVISORSCRD#: 19616 307 LEVERING MILL RD
BALA CYNWYD, PA 19004
BALA CYNWYD, PA 19004
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1/20/2016
Customer Dispute
Settled
3/22/2010
Customer Dispute
Denied
State Registrations
B
Arizona 4/25/2018
B
Missouri 8/12/2008
B
California 7/21/2006
B
Nevada 1/8/2025
B
Connecticut 1/17/2024
B
New Jersey 12/6/2004
B
Delaware 10/21/2005
B
New York 7/7/2003
B
District of Columbia 7/21/2006
B
North Carolina 3/22/2004
B
Florida 8/2/2005
IA
Pennsylvania 7/8/2003
B
Georgia 7/21/2006
B
Pennsylvania 3/22/2004
B
Illinois 2/19/2020
B
Texas 10/6/2022
B
Maryland 4/28/2005
IA
Texas 10/6/2022
B
Massachusetts 7/21/2006
B
Washington 11/29/2023
B
Michigan 1/8/2025
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 7/8/2003
B
Registered with this firm since 7/7/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/10/2000 - 05/02/2003 | PENNINGTON, NJ | |
B | 01/10/2000 - 05/02/2003 | NEW YORK, NY | |
B | 08/04/1998 - 09/27/1999 | NEWARK, 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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.