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MICHAEL JAMES STEVENS
MIKE STEVENS
CRD#: 2948736
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3510 STATE ROUTE 27
KENDALL PARK, NJ 08824
Registration History
199820002002200420062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2002 - Present (22 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2001 - Present (23 years)BMORGAN STANLEY DW INC. (CRD# 7556)1998 - 2001 (3 years)BJOSEPH STEVENS & COMPANY, INC. (CRD# 35459)1997 - 1998 (<1 year)
Disclosure(s)
View By:
1/28/2010
Customer Dispute
Denied
5/4/2009
Customer Dispute
Award / Judgment
5/7/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 4/15/2015

B
New Jersey 10/11/2001

B
Arizona 6/16/2004

IA
New Jersey 8/8/2002

B
California 10/11/2001

B
New Mexico 9/4/2007

B
Delaware 1/3/2005

B
New York 10/11/2001

B
Florida 6/14/2002

B
North Carolina 5/31/2005

B
Idaho 2/26/2025

B
Pennsylvania 1/6/2004

B
Illinois 1/31/2018

B
South Carolina 9/24/2020

B
Indiana 7/21/2014

B
Texas 12/4/2007

B
Maryland 5/3/2019

B
Virginia 9/5/2019

B
Massachusetts 8/10/2017

B
West Virginia 8/27/2015

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

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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)
3510 STATE ROUTE 27, KENDALL PARK, NJ 08824
Registered with this firm since 8/8/2002

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3510 STATE ROUTE 27, KENDALL PARK, NJ 08824
Registered with this firm since 10/11/2001

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/15/1998 - 10/10/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
09/30/1997 - 06/02/1998 JOSEPH STEVENS & COMPANY, INC. (CRD#:35459) BROOKLYN, NY
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B
Broker
IA
Investment Adviser
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.