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Detailed Report
MICHAEL DAVID VAN HORN
CRD#: 5153411
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 8601 N SCOTTSDALE RD STE 100
[VA-RBO]
SCOTTSDALE, AZ 85253
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - Present (14 years)
Disclosure(s)
View By:
10/28/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/16/2017
B
Nebraska 3/16/2017
B
Alaska 3/16/2017
B
Nevada 3/27/2017
B
Arizona 1/3/2011
B
New Hampshire 3/16/2017
IA
Arizona 1/3/2011
B
New Jersey 3/16/2017
B
Arkansas 3/17/2017
B
New Mexico 3/16/2017
B
California 3/16/2017
B
New York 3/16/2017
B
Colorado 4/30/2015
B
North Carolina 3/20/2017
B
Connecticut 3/16/2017
B
North Dakota 3/16/2017
B
Delaware 3/20/2017
B
Ohio 3/16/2017
B
District of Columbia 3/17/2017
B
Oklahoma 3/16/2017
B
Florida 3/20/2017
B
Oregon 3/21/2017
B
Georgia 3/16/2017
B
Pennsylvania 3/16/2017
B
Hawaii 4/5/2017
B
Puerto Rico 3/27/2017
B
Idaho 2/2/2015
B
Rhode Island 3/16/2017
B
Illinois 3/16/2017
B
South Carolina 3/20/2017
B
Indiana 3/17/2017
B
South Dakota 3/23/2017
B
Iowa 3/16/2017
B
Tennessee 3/16/2017
B
Kansas 3/18/2017
IA
Texas 3/16/2017
B
Kentucky 4/3/2017
B
Texas 3/20/2017
B
Louisiana 3/17/2017
B
Utah 3/16/2017
B
Maine 3/17/2017
B
Vermont 3/16/2017
B
Maryland 3/16/2017
B
Virgin Islands 3/23/2017
B
Massachusetts 3/20/2017
B
Virginia 3/16/2017
B
Michigan 3/20/2017
B
Washington 3/16/2017
B
Minnesota 3/28/2017
B
West Virginia 3/23/2017
B
Mississippi 3/20/2017
B
Wisconsin 3/16/2017
B
Missouri 3/16/2017
B
Wyoming 3/17/2017
B
Montana 3/16/2017

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)
8601 N SCOTTSDALE RD STE 100 [VA-RBO], SCOTTSDALE, AZ 85253
SURPRISE, AZ
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
8601 N SCOTTSDALE RD STE 100 [VA-RBO], SCOTTSDALE, AZ 85253
SURPRISE, AZ
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/13/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SUN CITY, AZ
B
 10/12/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SUN CITY, AZ
IA
 02/02/2007 - 09/06/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GOODYEAR, AZ
B
 01/19/2007 - 09/06/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GOODYEAR, AZ
IA
 09/29/2006 - 01/08/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PHOENIX, AZ
B
 08/17/2006 - 01/08/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PHOENIX, AZ
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.