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Detailed Report
MICHAEL SHANE FOLEY
CRD#: 5590363
IA
Investment Adviser
B
Broker
MML INVESTORS SERVICES, LLCCRD#: 10409 25 N Mentor Avenue
Pasadena, CA 91106
Registration History
2008201020122014201620182020202220242026IAMML INVESTORS SERVICES, LLC (CRD# 10409)2020 - Present (4 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2015 - Present (9 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2013 (2 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2009 - 2011 (2 years)
License(s)

State Registrations

B
Arizona 3/14/2022
B
Missouri 6/28/2024
B
California 2/2/2016
B
Montana 2/5/2025
IA
California 7/14/2020
B
North Carolina 3/19/2025
B
Colorado 4/13/2023
B
South Carolina 6/28/2024
B
Connecticut 7/26/2022
B
Texas 6/8/2017
B
Hawaii 10/9/2020
IA
Texas 7/14/2020
B
Idaho 8/9/2022
B
Utah 4/10/2024
B
Maryland 6/28/2024
B
Washington 5/30/2018
B
Massachusetts 12/13/2021
B
Wisconsin 6/28/2024
B
Minnesota 9/11/2023

SRO Registrations

B
 FINRA

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
MML INVESTORS SERVICES, LLC (CRD#:10409)
25 N Mentor Avenue, Pasadena, CA 91106
La Canada Flintridge, CA
Registered with this firm since 7/14/2020
B
MML INVESTORS SERVICES, LLC (CRD#:10409)
25 N Mentor Avenue, Pasadena, CA 91106
La Canada Flintridge, CA
Registered with this firm since 11/10/2015
Previous Registration(s)
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B
 01/03/2011 - 11/21/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) PASADENA, CA
B
 01/01/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) 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.