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Detailed Report
MICHAEL JAMES HERGET
JIM HERGET, MICHAEL J HERGET JR, MICHAEL J HERGET JR., MICHAEL J HERGET, MICHAEL JAMES HERGET JR…
CRD#: 4288271
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 15255 S 94TH AVE 1ST FL
ORLAND PARK, IL 60462
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - 2005 (1 year)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2010 (3 years)2 FIRMS2010 - Present (15 years)
License(s)

State Registrations

B
Arizona 7/27/2011
IA
Illinois 4/16/2010
B
California 7/21/2022
B
Indiana 11/14/2024
B
Colorado 10/28/2022
B
Maryland 5/12/2023
B
Delaware 4/16/2010
B
North Carolina 5/8/2024
B
Florida 4/16/2010
B
Texas 11/21/2019
B
Georgia 8/16/2022
IA
Texas 11/22/2019
B
Illinois 4/16/2010
B
Wisconsin 4/16/2010

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)
15255 S 94TH AVE 1ST FL, ORLAND PARK, IL 60462
MOKENA, IL
Registered with this firm since 4/16/2010
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
15255 S 94TH AVE 1ST FL, ORLAND PARK, IL 60462
MOKENA, IL
Registered with this firm since 4/16/2010
Previous Registration(s)
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IA
 05/29/2007 - 05/13/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ORLAND PARK, IL
B
 05/29/2007 - 05/13/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ORLAND PARK, IL
IA
 12/12/2005 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) ORLAND PARK, IL
B
 12/12/2005 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) ORLAND PARK, IL
IA
 07/06/2005 - 12/08/2005 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
 07/06/2005 - 12/08/2005 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
IA
 08/19/2003 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 08/19/2003 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
IA
 03/23/2001 - 08/01/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) CHICAGO, IL
B
 01/29/2001 - 08/01/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.