Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MICHAEL SCOTT PETT
MICHAEL PETT
CRD#: 3099748
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 106 ROUTE 10
SUCCASUNNA, NJ 07876
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - Present (16 years)BQUICK & REILLY, INC. (CRD# 11217)2001 - 2004 (3 years)BCSFBDIRECT, INC. (CRD# 42159)1998 - 2001 (2 years)IAQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (2 years)
License(s)

State Registrations

B
Arizona 5/16/2018
B
New Jersey 2/27/2009
B
California 2/18/2022
IA
New Jersey 2/27/2009
B
Colorado 8/7/2023
B
New York 2/27/2009
B
District of Columbia 2/27/2009
B
North Carolina 6/23/2009
B
Florida 2/27/2009
B
Pennsylvania 2/27/2009
B
Georgia 8/5/2014
B
South Carolina 2/27/2009
B
Illinois 2/27/2009
B
Tennessee 12/7/2020
B
Maryland 9/9/2022
B
Texas 1/27/2011
B
Massachusetts 2/8/2021
B
Virginia 10/29/2018
B
Minnesota 5/19/2011
B
Wisconsin 4/29/2020

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)
106 ROUTE 10, SUCCASUNNA, NJ 07876
Registered with this firm since 2/27/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
106 ROUTE 10, SUCCASUNNA, NJ 07876
Registered with this firm since 2/27/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/20/2004 - 03/02/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOONTON, NJ
B
 10/20/2004 - 03/02/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOONTON, NJ
IA
 09/04/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) MORRISTOWN, NJ
B
 05/30/2001 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 08/18/1998 - 05/21/2001 CSFBDIRECT, INC. (CRD#:42159) JERSEY CITY, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.