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Detailed Report
MICHAEL RICHARD BROWN
MICHAEL BROWN
CRD#: 6398904
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 525 MILLER AVE
MILL VALLEY, CA 94941
Registration History
1985199019952000200520102015202020252 FIRMS2017 - Present (7 years)
Disclosure(s)
View By:
3/15/1984
Criminal
Final Disposition
7/30/1983
Criminal
Final Disposition
1/7/1981
Criminal
Final Disposition
License(s)

State Registrations

B
California 7/3/2017
IA
California 7/3/2017

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)
525 MILLER AVE, MILL VALLEY, CA 94941
Registered with this firm since 7/3/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
525 MILLER AVE, MILL VALLEY, CA 94941
Registered with this firm since 6/8/2017
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.