Individual Firm
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MICHAEL JAMES HOGAN
MICHAEL JAMES HOGAN MR, MICHAEL HOGAN, MIKE HOGAN
CRD#: 4756058
IA
B
WELLS FARGO ADVISORSCRD#: 19616 50 W SAN FERNANDO ST
STE 1500
SAN JOSE, CA 95113
STE 1500
SAN JOSE, CA 95113
View By:
7/21/2009
Customer Dispute
Denied
State Registrations
B
Arizona 1/1/2008
B
Illinois 1/1/2008
B
California 1/1/2008
B
New York 6/13/2008
IA
California 1/1/2008
B
North Carolina 1/10/2011
B
Florida 1/16/2009
B
Pennsylvania 9/9/2021
B
Georgia 3/3/2025
B
Texas 1/24/2008
B
Hawaii 3/3/2020
SRO Registrations
B
B
B
B
B
B
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Learn about permitted activities of registered principals
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Registered with this firm since 1/1/2008
B
Registered with this firm since 1/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/15/2004 - 01/03/2008 | SAN JOSE, CA | |
IA | 09/09/2004 - 01/01/2008 | SAN JOSE, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.