Individual Firm
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MICHAEL PHELAN
MICHAEL LAWRENCE PHELAN
CRD#: 4308512
IA
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WELLS FARGO ADVISORSCRD#: 11025 380 Knollwood St.
Suite 340
Winston Salem, NC 27103
Suite 340
Winston Salem, NC 27103
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5/7/1991
Criminal
Final Disposition
State Registrations
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Alabama 7/18/2023
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New York 7/15/2023
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Alaska 7/19/2023
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North Carolina 7/7/2023
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California 7/7/2023
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North Carolina 7/7/2023
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Colorado 7/14/2023
B
Ohio 7/10/2023
B
District of Columbia 7/26/2023
B
Oregon 7/8/2023
B
Florida 7/10/2023
B
Pennsylvania 7/10/2023
B
Georgia 7/7/2023
B
South Carolina 7/12/2023
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Kentucky 7/17/2023
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Tennessee 7/10/2023
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Maryland 7/11/2023
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Texas 7/7/2023
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Massachusetts 7/10/2023
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Texas 7/7/2023
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Michigan 7/11/2023
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Vermont 7/17/2023
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Minnesota 5/31/2024
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Virginia 7/17/2023
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Montana 7/18/2023
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Wyoming 7/10/2023
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New Jersey 7/14/2023
SRO Registrations
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Registered with this firm since 7/7/2023
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Registered with this firm since 7/7/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/28/2010 - 07/07/2023 | RALEIGH, NC | |
B | 04/28/2010 - 07/07/2023 | RALEIGH, NC | |
IA | 09/25/2008 - 04/08/2010 | SALT LAKE CITY, UT | |
B | 03/11/2008 - 04/08/2010 | SALT LAKE CITY, UT | |
B | 10/19/2001 - 07/19/2006 | NEW YORK, NY | |
B | 10/01/2000 - 10/24/2001 | NEW YORK, NY |
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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.
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