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Detailed Report
MICHAEL ROBERT NEUMAN
CRD#: 4480718
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1247 E HUNTINGTON DR
DUARTE, CA 91010
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)BWAMU INVESTMENTS, INC. (CRD# 599)2002 - 2009 (7 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2008 - 2009 (<1 year)
License(s)

State Registrations

B
Alabama 4/22/2014
B
South Carolina 10/13/2020
B
California 10/28/2011
B
Tennessee 5/14/2021
IA
California 11/1/2011
B
Texas 4/9/2019
B
Hawaii 5/23/2024
IA
Texas 4/10/2019
B
Oregon 7/13/2015

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

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)
1247 E HUNTINGTON DR, DUARTE, CA 91010
655 N FAIR OAKS AVE, PASADENA, CA 91103
Registered with this firm since 11/1/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1247 E HUNTINGTON DR, DUARTE, CA 91010
655 N FAIR OAKS AVE, PASADENA, CA 91103
Registered with this firm since 10/28/2011
Previous Registration(s)
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IA
 05/02/2009 - 10/31/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PASADENA, CA
B
 05/02/2009 - 10/31/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PASADENA, CA
IA
 09/05/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) PASADENA, CA
B
 01/01/2002 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) PASADENA, CA
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.